Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
SEC Extends Some Form ADV Deadlines; FINRA Cancels Events
By Melanie WaddellExtensions "provide additional time so affected funds and advisers can continue meeting the expectations of their investors and clients," SEC Chairman Clayton said.
March 13, 2020
Edward Jones Suspends Travel; Raymond James Limits Client VisitsThe firms announce travel restrictions and update advisors on whether or not clients can visit branch offices.
March 13, 2020
FINRA Tweaks Suitability Rule to Address Reg BI ConflictsFINRA is also adjusting its noncash compensation rules.
March 12, 2020
Pandemic Ready: What Your Clients Need From YouWhat's going on out there is why you're here.
March 12, 2020
Janney Adds Reps From Morgan Stanley, Wells Fargo: Recruiting RoundupMeanwhile, LPL has recruited a team in North Carolina that serves pro athletes.
March 12, 2020
Raymond James Rolls Out New Succession ProgramEven for experienced advisors, "the thought of retirement can be daunting," according to one executive.
March 11, 2020
GOP Lawmakers Back Reg BI in Court BattleThe rule "balances many competing considerations," they said in an amicus brief.
March 11, 2020
Is Your Broker-Dealer a Doomsday Prepper?Your BD's readiness, or lack thereof, to handle a bear market can affect you in many ways.