Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
GAO Suggests Polling the Audience
By Christina Pellett, Christina PellettPassed on July 15, the Dodd-Frank Wall Street Reform and Consumer Protection Act set forth several game plans for whipping the financial services industry into ...
January 18, 2011
TD Ameritrade's Fiscal Q1: Income Rises, Sales Beat EstimatesNet new client assets for the online broker were $9.7 billion, a jump of 11% over last year’s results.
January 18, 2011
2010 Q4 Earnings: Schwab Income Falls on Yield-Plus ChargesNet new assets in Advisor Services, though, rise 27% to $16.4 billion in the last quarter of 2010.
January 14, 2011
Valerie Brown Says Cetera Is Investing to Meet BD, Rep Needs: The Weekend InterviewIncreased margin pressure on all IBDs, will lead—is already leading—many smaller broker-dealers to seek the shelter of larger BDs.
January 13, 2011
CFTC Approves Dodd-Frank Rules on DerivativesMembers of the Commodity Futures Trading Commission approved two rules proposed by the Dodd-Frank Act to regulate position limits for derivatives and swap trading relationship documentation requirements Thursday morning.
January 12, 2011
Summit Financial Services Hires Don Shula for Recruiting Effort‘Winningest’ NFL coach will serve as corporate spokesperson.
January 11, 2011
HighTower ‘Tucks In’ a Morgan Stanley Broker to Existing RIA FirmThe firm that has attracted a raft of brokerage teams from major wirehouses to partner under its RIA umbrella announced its first tuck-in transaction.
January 06, 2011
Younger Agents: Burden or Bellwether?The other day, a reader called to take one of our recent contributors to task for a piece on the virtues of reaching out to ...