Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
FPA Backs Fiduciary Standard, Reaches Out to FSI Members
By James J. Green, Kate McBrideThe FPA is sticking by its fiduciary standard of care, says group president Martin Kurtz, and is also looking to re-engage FSI members while searching for ways to help provide education and advice to more Americans.
March 01, 2011
A Study in FlexibilityNow that the euphoria that followed the SEC’s Study on Investment Advisors and Broker-Dealers has waned a bit, it’s time to take a more somber look at what this much-awaited document says.
March 01, 2011
In Support of a True, Genuine, Authentic, Real, Not-Your-Broker’s Fiduciary StandardOpponents have adopted a strategy of appearing to support a fiduciary standard in principle, and then actively lobbying to water it down to the point of adding no new investor protections at all.
February 28, 2011
2011 Advisor SurveyWe recently reached out to you, our readers, seeking your thoughts about the industry, your clients and your aspirations for the year ahead...
February 28, 2011
The Five Top FINRA Enforcement Actions in 2010An analysis by the securities law firm Sutherland Asbill & Brennan, including Sutherland's Brian Rubin, says FINRA is taking a more ‘aggressive enforcement’ stance.
February 25, 2011
Eastbridge Reports Rising Confidence in Voluntary IndustryConfidence in the future of the voluntary industry is rising, according to a new survey.
February 24, 2011
Raymond James: Advisor Fees, Commissions Up 20% in Early '11The firm’s 5,300-plus FAs had total production or sales of $186 million in January 2011
February 24, 2011
LPL’s Bill Dwyer Makes the Case for BD Scale“Biggest bull market in advice ever” can best be met by advisors aligning with a firm with scale, like his, Dwyer told AdvisorOne.