Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Under Trump Order, SEC Warns of Investments in Chinese Military Companies
By Melanie WaddellBeginning on Jan. 11, U.S. persons will be prohibited from transacting in certain securities and derivatives of these companies.
January 04, 2021
SEC's Investor Advocate Decries Deregulatory Agenda Under ClaytonEfforts to "modernize" or "streamline" rules hurt investors, Investor Advocate Rick Fleming says in his year-end report to Congress.
January 04, 2021
FINRA Fines LPL $6.5M Over Faulty Background Checks, Deleted RecordsThe firm failed to fingerprint more than 7,000 non-registered associated persons, FINRA says.
January 04, 2021
Morgan Stanley Team Goes Indie With Raymond JamesThe group includes four advisors, three of whom have more than 20 years in the business; it is based in Franklin, Tennessee.
December 23, 2020
FINRA Seeks Feedback on Lessons Learned From COVIDThe group requests input on changes to business operations due to remote work as well as business continuity planning.
December 23, 2020
SEC Seeks Feedback on BDs' Custody of Digital AssetsSecurities regulator also wants comments on "evolving standards and best practices" with respect to custody of digital asset securities.
December 23, 2020
Ex-Merrill Rep Sentenced to 8 Years in Prison for FraudThe former broker had pleaded guilty to investment advisor and wire fraud.
December 23, 2020
How to Get Clients Started on Legacy PlanningRather than focusing on inheritance, ask clients what they want their long-term impact to be, says attorney and tax expert Toby Mathis.