Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
FINRA Charged With Poor Transparency, Needs Closer Scrutiny—Compliance Watch
By Melanie WaddellThe non-governmental regulator lacks the 'checks and balances' of other government regulators, U.S. Chamber of Commerce charges.
July 21, 2011
Dodd-Frank: FPA, CFP Board Say Much 'Still in Play' for AdvisorsFPA's Dan Barry and CFP Board's Marilyn Mohrman-Gillis tell AdvisorOne that advisors will be affected by a host of changes in year two of Dodd-Frank
July 20, 2011
Fiscal Q3 Earnings: TD Ameritrade's Decline Versus Prior QuarterTD Ameritrade announced quarterly earnings on Tuesday, reporting EPS of $0.27 on profits of $157.4 million compared with EPS of $0.30 on profits of $171.7 million in the prior quarter.
July 20, 2011
Commonwealth Financial Offers Forefield Marketing Apps to Its AdvisorsIndependent BD reps will gain access to educational, CE and client communications tools at no charge from Broadridge unit.
July 18, 2011
Q2 Earnings: Schwab's Net Income Meets Estimates on ‘Soft’ TradingNet new assets in advisory accounts up year over year but down from previous quarter.
July 14, 2011
Q2 Earnings Outlook: Financial Firms’ Reporting Season Off to Good StartBut with new rules hitting banks, corporate results could face headwinds in the second quarter of 2011.
July 13, 2011
Schwab Boosts Global-Investing Platform With Broadridge DealPartnership will allow Schwab to offer clients more foreign-equity and currency-markets access.
July 12, 2011
A Fiduciary Standard: The Next Big (Marketing) Thing?If brokers can call themselves fiduciaries without actually being so, having a 'fiduciary duty' may become the next powerful marketing tool.