Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
FINRA Working on Reg BI Guidance, Mulling Exam Changes: Cook
By Melanie WaddellIn the future, in-person BD exams likely will be considered "more on a risk-based framework," says the regulator's CEO.
September 23, 2020
9 Inspiring Advisor Stories of 2020In the midst of 2020's highly challenging circumstances, here's how nine advisors have been going above and beyond for their clients.
September 22, 2020
FINRA Releases Exam Cheating Rule ProposalFINRA's plan seeks an expedited proceeding for brokers who cheat on exams; comments are due by Nov. 23.
September 21, 2020
The World Is Losing the Money Laundering FightBanks and their regulators are nowhere near restraining the flow of trillions of dollars of illicit funds.
September 21, 2020
Commonwealth Financial Has a New LookBlue and gray are out, along with the six pyramids that used to be in its logo.
September 21, 2020
Franklin Templeton Launches New Tool for Advisors: Portfolio ProductsAlso, Invesco expands its lineup of Defined Maturity Bond ETFs.
September 18, 2020
FINRA Advances Rules on Senior Exploitation, E-SignaturesFINRA plans to publish a Regulatory Notice seeking comment on amendments to its senior exploitation rule.
September 18, 2020
What's Up With the LPL-Morningstar Relationship?The research firm says it's "disappointed" by the IBD's decision tied to the use of Morningstar Office for consolidated reporting.