Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
FINRA Plans New Branch Inspection, Home Office Rules
By Melanie WaddellFINRA plans to issue new remote supervision proposals and have another comment period, CEO Robert Cook said.
March 16, 2023
Here's What BDs Should Do After SVB, Signature FailuresThe regulator has issued a notice to broker-dealers that have deposits at the failed banks.
March 15, 2023
Swiss Government Holds Talks on Options to Stabilize Credit SuisseOne long-shot idea is a tie-up with larger Swiss rival UBS Group, said people familiar with the matter.
March 15, 2023
How BDs Can Respond to Shifting Advisor Preferences: CerulliThe company says that asset managers must make available portfolio elements that appeal to advisors' needs for flexibility.
March 15, 2023
SEC Proposes New Cyber Rules for RIAs, BDsFirms would be required to notify customers of breaches that might put their personal financial data at risk.
March 15, 2023
Credit Suisse Ignites Global Market Rout as Banking Fears ReturnGlobal investors are still on edge after the rapid-fire collapse of three regional U.S. banks.
March 15, 2023
LUMINARIES 2023 Nominations Portal OpenThinkAdvisor's recognition program is accepting nominations through April 18. There's no cost to participate.
March 14, 2023
Morgan Stanley Readies OpenAI GPT-4 Offering for AdvisorsThe wirehouse is developing a service to provide its advisors with content and insights, with more applications to follow.