Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Why Firms Need Zero-Trust Cybersecurity, Especially Now
By Jason Lish and Sid YenamandraCOVID-19 has meant advisors and employees work from home, a target for cybercriminals. Thus, security needs to be stepped up.
October 26, 2020
SEC Chief: Firms 'Meeting Their Obligations' on Reg BIBut some areas of Form CRS need improvement, Jay Clayton says.
October 26, 2020
Fidelity Expands Reach of Its Model PortfoliosFidelity Model Portfolios are now available to advisors on 16 platforms.
October 23, 2020
Election Spending in the Advisory Industry: By the NumbersHere's how much three advisor-focused PACs gave to candidates in this record-breaking election cycle.
October 23, 2020
FINRA Amends Sanction Guidelines to Protect Older AdultsThe revision, effective immediately, "is consistent with FINRA's view that certain investors may need additional protections," says attorney Brian Rubin.
October 22, 2020
UBS Expands Workplace Wealth Solutions: Tech RoundupAlso, LaSalle St. is the latest firm to launch a financial planning platform.
October 22, 2020
$1.1B Merrill Team Jumps to JPMorganThe four-member Campbell Group made the move in San Francisco and is led by Gwen Campbell.
October 21, 2020
Janney Reports Big Jump in Advisors' Use of Social Media, TextsThe BD says virtual client communication via Hearsay Systems' compliant tools is up significantly during the pandemic.