Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
FINRA COVID-19 Fraud Task Force Has Referred 50 Potential Scams to SEC
By Melanie WaddellFINRA has hired Greg Ruppert, formerly of Schwab, to spearhead its COVID-19 fraud task force.
April 30, 2020
State AGs Urge Court to Expedite Reg BI Oral ArgumentsThe states and XYPN want "to bring certainty for the industry" before the planned June 30 effective date, said Michael Kitces.
April 30, 2020
Ameriprise Nabs $321M Morgan Stanley TeamSnowden Lane picks up a Merrill Lynch advisor, as movement from the wirehouses continues during the COVID-19 crisis.
April 30, 2020
10 Steps to Buying a Practice in the PandemicFor advisors in the market for another practice, now's a time of unique opportunity.
April 30, 2020
BD to Roll Out Zero-Interest M&A LoansLaSalle St. intends for the program to help advisors speed up succession planning.
April 29, 2020
Raymond James' Profits Fall 35% on COVID-19 IssuesPrivate client pretax income, though, rose 29% in the period ending March 31.
April 29, 2020
FINRA Provides Fixed Income, Funding Portal Relief in Light of COVID-19Funding portals registered with FINRA will be allowed to spread out payment of their gross income assessment.
April 29, 2020
Groups File Petition to End SEC Crackdown on 12b-1 Fees"It is time for the SEC to stop its troubling, ongoing trend of backdoor regulation," said FSI's Dale Brown.