Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Secure Act, Fiduciary Rules Set Up a Doozy of a Compliance Year
By Melanie WaddellMajor changes are afoot in the rules that govern advice-giving.
December 18, 2019
CFP Board's Enforcement Oversight Is Inadequate: Task ForceThe task force made multiple recommendations, some of which the CFP Board pledges to adopt.
December 18, 2019
How Big Firms, Small Firms Are Preparing SEC's Form CRSAt FINRA's Reg BI event, panelists from Wells Fargo and a small broker-dealer compared their approaches.
December 17, 2019
How RBC's Kimmell 'Bulldozed' Through the Glass CeilingFrom switching paths in financial services and to overcoming work/life hurdles, she's helped blaze a trail for others.
December 16, 2019
Dimon Says He's 'Disgusted by Racism' in Wake of New York Times ExposéThe news comes about a year after the bank reached a $24 million settlement brought by black employees.
December 16, 2019
Why Impeachment 'Means Nothing' to the Markets: Commonwealth's McMillanThe chief investment officer of Commonwealth Financial Network explains the current dynamics of the political economy.
December 16, 2019
FINRA Seeks SEC OK on Rule to Align With Reg BIAnother rule would require BDs with a significant history of misconduct to maintain a segregated account with restricted withdrawals.
December 12, 2019
FINRA Names Consolidated Exam TeamFINRA's three exam functions have been consolidated into a single, unified program.