Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
XYPN Mulls Supreme Court Challenge to SEC Reg BI
By Melanie WaddellThis is one of two possible moves XYPN is considering after an appeals court upheld the rule, Michael Kitces said Monday.
June 25, 2020
Reg BI and the History of 'Fiduciary' DebateThe standards of conduct are core to how advisors and BDs do business.
June 25, 2020
IBDs & Wirehouses Roll Out New Programs, TechInnovation continues throughout the industry at this challenging time.
June 25, 2020
What's Next for Chaos in the Custodial Space?The once-sleepy field is seeing intense change; three waves of advisor migration are expected from the Schwab-TD Ameritrade deal and other shifts.
June 24, 2020
Broker-Dealer to Pay $3.1M for Bad Trade DataThe inaccurate and incomplete securities trading information, or "blue sheet data," affected 27.6 million transactions.
June 24, 2020
FINRA Moves Ahead on Brokers-as-Beneficiaries RuleRegulatory group also is looking to build a standard to govern brokers acting as trustees or executors and being given power of attorney.
June 23, 2020
SEC Preps LIBOR Transition ExamsSEC registered advisers that specialize in fixed-income tied to LIBOR should expect an exam in 2020.
June 23, 2020
Tips for Prospecting During the Pandemic: Fidelity"You can't wait for the world to come back to face-to-face," says David Canter, head of its RIA channel.