Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Morgan Stanley to Jump Into ETF Market
By Jeff BermanThe firm plans to offer a "multi-asset ETF platform that covers active and systematic strategies," said an executive.
March 25, 2022
10 Growth Trends in Wealth Management Today: BroadridgeRecent industry analysis highlights investor client interest in cryptocurrencies, model portfolios, ESG offerings and more.
March 24, 2022
SEC Prevails in 12b-1 Fee Case Against Advisory FirmRather than settle, the firm says it spent two years fighting to stop the SEC's push to create "new regulation without following the formal rule-making process."
March 23, 2022
UBS Embraces WFH as Morgan Stanley Doubles Down on Office ReturnThe approach being taken by UBS should give it a recruiting advantage, recruiter Mark Elzweig says.
March 23, 2022
BD to Pay Over $400K for Failing to Supervise RepsFINRA has sanctioned an independent broker-dealer over sales of risky alternative mutual fund to clients.
March 23, 2022
5 Ways to Lower RMDs, Help Clients Reduce Medicare SurchargesStrategies to trim required minimum distributions can lessen the impact of income-related monthly adjustment amounts, or IRMAAs.
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.