Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
How the Top BDs of 2020 Got Ahead of the Pandemic
By Janet Levaux | Ginger SzalaLeaders of four broker-dealers explain what continuity, technology and other steps prepared their firms for remote work.
August 26, 2020
SEC's New Accredited Investor Definition Gets Mixed ResponseSome industry players cheered the expansion, while others said it didn't go far enough.
August 26, 2020
Scottrade to Pay $250K Fine to Massachusetts Over Sales ContestsThe order ends a two-year dispute between Scottrade and Commonwealth Secretary William Galvin.
August 26, 2020
Advisor Allegedly Fast With $2M of Client Funds Makes SEC FuriousMark J. Boucher allegedly created false accounts and said that buying a car with a client's money was "a simple mistake."
August 26, 2020
The Top BDs of 2020 Sound Off on Private EquityLeaders of the four top firms describe what they see as PE's downsides vs. the upsides of being ownership-based.
August 25, 2020
Think Windfalls Are Just Good Luck? Think Again — Prospecting in a Pandemic, Part 2In the second of a four-part series, I look at why it pays to get ready for these career-changing opportunities.
August 24, 2020
Advisors' Tech Use: There's No Going BackLPL Chief Investment Officer Burt White and Managing Director Matt Enyedi share why advisors' technology use is set to remain as it is now.
August 24, 2020
Shed the Shame: Taking a PPP Loan Is Not What You ThinkAs firms grapple with this dilemma, it's important to note that PPP is not a bailout.