Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Raymond James to Acquire Private Equity Advisor Cebile
By Jeff BermanThe company also launched a new application for advisors and nabbed an advisor team from Wells Fargo.
May 26, 2021
3 Ways New Regulations Are Choking BDsMany BDs are rethinking practices around fees and commissions thanks to Reg BI; meanwhile, FINRA demands seem "endless."
May 25, 2021
Number of Registered Reps Falls for Fifth Straight Year: FINRAThe number of BD firms has fallen every year for more than a decade, FINRA reports.
May 25, 2021
It's an Advisor's World as BD, RIA Options MultiplyHere's what advisors are demanding from broker-dealers and other industry players now, according to recruiters Louis and Mindy Diamond.
May 24, 2021
Trendspotter: Why Reg BI Will Push More BDs Into RIA ModelThe compliance costs, and SEC Chair Gensler's signaling that he's serious about enforcement, are accelerating a trend in progress.
May 21, 2021
Why Direct-Sold 529s Are Better Than Advisor-Sold Plans: MorningstarAdvisor-sold 529 plans can include 12b-1 fees. Morningstar isn't a fan.
May 21, 2021
Top 8 News Stories of the WeekThis week's biggest news stories include trading accounts for teenagers and the naming of future CEO candidates for two big banks.
May 21, 2021
Reg BI Exams: Here's What to ExpectAreas of focus include rollovers, fees and complex products.