Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
FINRA's Top 10 Biggest BD Arbitration Awards in 2019
By Melanie WaddellThese are the biggest awards in broker-versus-firm and firm-versus-firm cases.
October 09, 2019
Zero Commissions a 'Huge Deal' for Advisors, BDs: HenschenBroker-dealer recruiter Jon Henschen breaks down "the ripple effects" of the big brokerages' elimination of most trading commissions.
October 08, 2019
FINRA Updates Reg BI Webpage With Compliance ChecklistThe checklist outlines major requirements and notes differences between FINRA and rules and SEC's Reg BI and Form CRS.
October 07, 2019
$1B Team Joins LPL From FSCThe 10-advisor firm comes on board from one of Advisor Group's broker-dealers, as does a second team with $210 million.
October 07, 2019
Vanguard Expands Active Offerings: Portfolio ProductsAlso, Schwab to launch 3 new fixed income ETFs.
October 04, 2019
FINRA Board Approves Expungement ChangesFINRA approved creating a roster of arbitrators with enhanced training to decide whether to expunge customer complaints about brokers.
October 03, 2019
5 More Places to Look for ProspectsYou can add prospects just by adapting what you're already doing.
October 02, 2019
Number of BDs Continues Steady Decline, FINRA Report ShowsThe report "is further evidence of the decline of the broker-dealer model," said former FINRA enforcement chief Bennett.