Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
SEC OKs Fund of Funds Update, New 'Finders' Exemption
By Melanie WaddellThe Democratic commissioners dissented on the finders exemption, with Crenshaw stating finders can engage "in core broker-dealer activities" without registration.
October 05, 2020
20 Best Paying College Majors (That Aren't Engineering): 2020For its bachelor's degree study, PayScale collected compensation data on 835 majors at 1,736 colleges and universities across the U.S.
October 05, 2020
FINRA Mulls Further Changes to Senior Exploitation RuleFINRA wants to extend the period for placing a temporary hold on accounts and create the first uniform, national standard for placing holds on transactions.
October 05, 2020
BNY Mellon Taps Another State Street ExecLaura Steinbach's hiring comes some nine months after her colleague Jane Mancini left State Street to join the bank.
October 05, 2020
$625M Morgan Stanley Team Jumps to RBCMartin Wealth Management Group includes four advisors from three generations.
October 05, 2020
Ex-Commonwealth Rep Pleads Guilty to Stealing Over $3.7M From ClientsThe barred broker and advisor pleaded guilty to one count each of wire fraud, mail fraud and identity theft.
October 02, 2020
Raymond James Adds $678M Bank AdvisorsThe four registered reps joined Pinnacle Financial Partners from Wells Fargo and other firms.
October 02, 2020
FINRA Moves Ahead on BD Fee HikeBeginning in 2022, fees in five areas will be raised gradually.