Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
SEC Commissioner: Time to Reassess BD Best Execution Obligations
By Jeff BermanThe commission should "consider whether minor adjustments or more significant changes are appropriate" for the Order Protection Rule, he said at a SIFMA event.
September 19, 2019
RBC, Merrill Tap New Execs: Recruiting RoundupMeanwhile, Wells Fargo FiNet says it has added more than 87 advisors with $11.5 billion of client assets this year.
September 18, 2019
New DOL Fiduciary Rules Out in Next 2 Months: AttorneysMany in the industry want clarification on how new SEC rules will affect ERISA fiduciary status, two lawyers write.
September 17, 2019
Raymond James to Pay $15M to SEC for Improper ChargesThree units improperly charged advisory fees on inactive client accounts and charged excess commissions for UITs, the SEC said.
September 16, 2019
Vanguard Releases New Framework to Calculate an Advisor's Value to ClientsThe framework, based on research involving clients of Vanguard's Personal Advisor Services, assigns a high value to emotional outcomes.
September 13, 2019
Former Air Force Pilot Tells Female Advisors: Sky's the Limit"Do not censor part of yourself," ex-Thunderbird Nicole Malachowski says at Raymond James' 25th annual event.
September 13, 2019
SEC's New Form CRS: A BreakdownHere's a summary of this new paperwork soon to be required of advisors and their clients.
September 12, 2019
Triad's Hybrid Platform Nears $2BAbout 30 advisors added $1.3 billion in assets to the business over an 18-month period, according to an executive.