Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
FINRA Files to Raise Gift Limit to $300
By Melanie WaddellThe BD regulator proposed in June an increase to $250 but was swayed by industry feedback.
September 19, 2025
4 Things Successful Advisors Do: LPLAdvisors that exhibited even two of these behaviors grew five times faster than peers, a study found.
September 17, 2025
Ex-Citi Rep Fined, Suspended Over Outside Business ActivityMaximiliano Ramirez was a member and 50% owner of an insurance agency while at Citigroup Global Markets, FINRA says.
September 17, 2025
Edward Jones Opening 4 Specialized HNW OfficesThe firm will also beef up its advisor training in advanced planning and complex products.
September 15, 2025
LPL Weighs Minority Investments in Hybrid RIAsThe strategy would provide capital-hungry firms an alternative to private equity, executive Marc Cohen says.
September 05, 2025
Who Actually Needs to Register as a Broker-Dealer? — SEC RoundupAndreessen Horowitz and the DeFi Education Fund are proposing a "safe harbor" for fintech apps.
September 05, 2025
JPMorgan to Cut 58 More Jobs in New JerseyThe layoffs at the bank follow nearly 330 previously announced job cuts in the state.
September 04, 2025
Stifel Adds Ex-Merrill Exec and $1B of His Investment Firm's AssetsLaunny Steffens will lead asset management; Stifel will acquire AUM from his firm, Spring Mountain Capital.