Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
David Komansky, CEO Who Led Merrill's Global Growth, Dies at 82
By Laurence Arnold and Katherine DohertyThe sale of Merrill to Bank of America in 2008 "broke my heart," Komansky said in a 2010 interview with Bloomberg Television.
September 29, 2021
FINRA Plan Sets Annual Fee for CE RequirementsThe fee would apply to members who take CE to remain qualified for up to five years after their registration is terminated.
September 29, 2021
DOJ, SEC Charge Ex-Advisor With Bilking 3 Older ClientsThe ex-broker used the money to pay for luxury cars, vacations, private school tuition and a gold necklace, according to the authorities.
September 29, 2021
The History of the Financial Planning Profession, Part 1Let's take a look at how the profession has evolved so we can better understand where it's going.
September 29, 2021
FINRA Adopts Restricted Firm RulesThe rules impose new obligations on broker-dealers with a significant history of misconduct.
September 28, 2021
Interactive Brokers Fined $1.75M for Failures Amid Oil Futures Price CollapseThe firm's trading system was unprepared when prices turned negative in April 2020, according to the CFTC.
September 28, 2021
Reg BI Compliance Requires 'Tailored' Policies and Procedures: SECGive registered reps specific examples of how to accomplish Reg BI's requirements, the SEC's Asset Management director suggests.
September 28, 2021
To Boost Diversity, Go 'Where the Talent Is': Ameriprise's Rudy RodriguezThe Ameriprise executive explains how the industry can better recruit and retain advisors from diverse backgrounds and communities.