Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
FINRA to Expand BrokerCheck; Rep Info to Stay Online
By Janet LevauxDisclosure records for former brokers will be available on BrokerCheck beginning November 30, FINRA says, and the records will remain online -- even if the rep leaves the industry.
November 13, 2009
Hennessy Funds Makes Wirehouse PushHennessy Focus 30 Fund joins Morgan Stanley Smith Barney platform, used by 18,160 advisors.
November 09, 2009
Editor's Choice for the Week of November 9, 2009: Budgets, Bills, and Broker/DealersWhat's happening this week.
November 06, 2009
Petersen Changes Elimination Period DefinitionA broker that sets up high-end income protection programs has updated the way its plans treat insureds who suffer from two or more successive periods of disability.
November 06, 2009
ING to Sell Three B/DsSome 5,700 advisors with yearly fees and commissions of $650 million go to Lightyear Capital.
November 04, 2009
UBS Down 680 FAs in Q3After selling some 380 advisors to Stifel Nicolaus, UBS Americas now has 7,286 advisors in its ranks as of September 30, 2009.
November 04, 2009
Panel OKs Investor Protection Act BillMembers of the House Financial Services Committee have voted 41-28 to approve H.R. 3817, the Investor Protection Act, and insurance producer groups are still worried that the bill will hurt their members.
November 04, 2009
Panel OKs Investor Protection Act BillMembers of the House Financial Services Committee have voted 41-28 to approve H.R. 3817, the Investor Protection Act, and insurance producer groups are still worried that the bill will hurt their members.