Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
SERFF'S up for NAIC
By Arthur D PostalThe unilateral decision by officials of National Association of Insurance Commissioners to broaden the use of the System for Electronic Rate and Form Filing (SERFF) to include regulatory purposes is coming under strong fire from industry trade groups.
February 28, 2012
Raymond James Recruits $2.7 Million Advisor TeamRaymond James added a $2.7 million team to its ranks, the broker-dealer announced Tuesday.
February 28, 2012
Raymond James Clears Hurdle in Morgan Keegan MergerA stipulated period for certain antitrust procedures has ended early, the company says.
February 28, 2012
SEC, CFTC Issue Joint Rule Proposal on Identity TheftThe SEC on Tuesday announced a rule proposal to help protect investors from identity theft by ensuring that broker-dealers, mutual funds, and other SEC-regulated entities create programs to detect and respond appropriately to red flags.
February 27, 2012
LPL Financial Names Joan Khoury Chief Marketing OfficerFormer Merrill, Wachovia, BONY marketing veteran to head up largest independent broker-dealers marketing efforts.
February 24, 2012
A Reformer’s RebukeJoshua Brown, the blogger known as the Reformed Broker, has a wide following among financial advisors, who start their day reading his leads on industry news, markets and actionable ideas.
February 24, 2012
Breaking Ranks: Former Broker Turns Bomb ThrowerJoshua Brown is a reformed broker and thinks you should be one too or else.
February 24, 2012
Great Plains Financial Group Joins Securities AmericaSecurities America announced Thursday that Great Plains Financial Group has joined the La Vista, Neb.-based broker-dealer.