Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Schwab Launches Alternative Investment Platform
By Bernice NapachiCapital Network is the first third-party platform to join the Schwab Alternative Investment Marketplace.
October 22, 2019
RIA Steward Partners Launches Indie ModelThe employee-owned partnership associated with Raymond James says the move comes "in response to increased advisor requests."
October 22, 2019
Raymond James' RIA Group Adds Free TradesThe move affects advisors affiliated with its Investment Advisors Division, not its broader indie and employee channels.
October 22, 2019
12 Top US Wealth Management FirmsAite Group finds many of the biggest financial services firms boosting their wealth management capabilities.
October 21, 2019
FINRA Won't Nix Suitability Rule in Light of Reg BIFINRA plans to submit to its board shortly a rule proposal on sales contests and FINRA's suitability rule "to conform them to Reg BI," its legal chief says.
October 18, 2019
FINRA's Top 9 Biggest Investor Arbitration Awards in 2019(Related: FINRA's Top 10 Biggest BD Arbitration Awards in 2019) Financial Industry Regulatory Authority arbitration cases brought by clients against…
October 17, 2019
House Passes Bill Requiring SEC to Test Investor DisclosuresSEC Disclosure Effectiveness Testing Act also requires the agency to review and test its existing disclosures for retail investors.
October 17, 2019
Financial Advisors Are Failing to Plan for the Future: StudyA joint study by SEI and the FPA found that advisors are not adequately anticipating the changing needs of clients.