Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Senate Passes PPP Extension
By Erik Wasson and Mark NiquetteThe extension runs to Aug. 8; it would have to pass the House, which had approved a year-end extension.
June 30, 2020
Hopkins, Kitces: As SEC's Reg BI Goes Live, Worries RemainCarson Group's Jamie Hopkins voices his concerns on Reg BI and the DOL proposal intended to align with it.
June 30, 2020
Reg BI Is Here. Is Your Tech Ready?Now is a good time for BDs to reevaluate their legacy technology systems.
June 29, 2020
How Advisors Can Help Kids in COVID-19 TimesWhile working from home this summer, show children how you help others reach their goals and how they can do the same.
June 29, 2020
U.S. Advisors Expect 7% Asset Growth Over Next 12 Months: SurveyAnd it's not likely coming from market returns. Here's how advisors plan to boost growth this year, according to Natixis.
June 29, 2020
Why the Orion-Brinker Merger Is a Big DealThe deal makes Orion "substantially bigger overnight," said T3's Bruckenstein.
June 29, 2020
Empower to Buy Personal Capital in $1B DealThe price is a "stunning" premium for the robo-advisor, says popular blogger Michael Kitces.
June 29, 2020
SEC Releases Updated FAQ on Form CRSThe FAQ provides updates on questions related to broker-dealers as well as dual registrants.