Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
UBS Embraces WFH as Morgan Stanley Doubles Down on Office Return
By Jeff BermanThe approach being taken by UBS should give it a recruiting advantage, recruiter Mark Elzweig says.
March 21, 2022
Don't 'Torpedo' Medicare, Social Security in Retirement Plans: William MeyerRetiree Inc.'s CEO says good intentions can go wrong, such as when a Roth conversion raised a client's Medicare premium, an outcome that "will likely" get the advisor "fire[d]."
March 18, 2022
Galvin Asks BDs If They'll Raise Sweep Account Interest Rates After Fed Hike"Consumers are being squeezed right now," said Massachusetts' top securities regulator, William Galvin.
March 17, 2022
FINRA on Supervision: Not a Boss, Not Your Problem (Even If You're a CCO)CCOs are not automatically supervisors and subject to enforcement action, the regulator says.
March 17, 2022
Edward Jones to Plow $1B Into Tech This Year: Tech RoundupAlso, Pershing X, led by Ainslie Simmonds, announced a new partnership.
March 17, 2022
Rep Fired From Merrill After Smoothie Incident Has a New GigJames Iannazzo is now a registered rep at Aegis Capital, according to FINRA's BrokerCheck.
March 16, 2022
Advisors Happy With Outsourced Investment Management: SurveyAssetMark, a TAMP, found that most advisors who had chosen outsourcing were satisified with their decision.
March 16, 2022
DOL Withdrawal of Independent Contractor Rule Violated Law, Judge RulesFSI says the rule gives advisors and firms certainty that they are indeed independent.