Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
FINRA Seeks Comments on Rule Requiring Complaints, Arb Claim Reports
By Melanie WaddellFINRA is seeking comments on which data BDs should be required to report.
January 13, 2020
SEC's Top 5 Exam Priorities in 2020Here's what SEC examiners are focusing on this year.
January 13, 2020
Next Job for Seahawks' Marshawn Lynch: Retirement Advisor?Lynch's advisor at UBS said, "He understands the transition [to retirement] better than anyone in the NFL, since he's done it twice."
January 13, 2020
SEC Releases FAQ on Reg BI ComplianceThe FAQ states that Form CRS will not satisfy a broker's Regulation Best Interest disclosure obligations and sets out which products are covered by the rule.
January 10, 2020
Raymond James Nabs $800M Wells Fargo Team in Salt Lake CityMeanwhile, Stifel says it added a Wells Fargo rep and an advisor duo from UBS with a combined $213 million.
January 10, 2020
10 Top Trends in Wealth Management for 2020: Aite GroupLast year brought several major developments in the industry. How will those developments play out?
January 10, 2020
FINRA's Top 5 Exam Priorities in 2020Reg BI and Form CRS compliance is Job No. 1. But it isn't the regulator's only focus.
January 10, 2020
LPL's ClientWorks Adds Envestnet MoneyGuideMoneyGuide becomes the latest tech solution to integrate with LPL's platform.