Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Advisors Who Serve(d) in the Military: 2019 Survey
By Ronald PechtimaldjianPlease tell us about your military service so we can share your stories this Memorial Day weekend in our ongoing Advisors Who Serve(d) compilations.
May 06, 2019
New FINRA CAT Subsidiary to Develop Consolidated Audit TrailThe new subsidiary, FINRA CAT, was created after the contractor working on the system was fired.
May 06, 2019
Junxure Deepens Integrations With Orion, Constant Contact: Portfolio ProductsIn other product news, FTSE Russell launched US Municipal Bond Index.
May 03, 2019
BlackRock Is Winning at Making Less Money From ClientsThe iShares Broad USD High Yield Corporate Bond ETF added a record $368 million Thursday, after discreetly slashing its fee in March.
May 02, 2019
Ken Fisher Busts Investing Myths; Tells Advisors to Seek 'Uncomfort Zone'In a wide-ranging interview, the legendary investor talks to ThinkAdvisor about advisors' biggest "dilemmas."
May 02, 2019
AI Is Not a Priority for the Largest Advisory Firms: Pershing PollThe Elite Advisor Poll found that firms are investing more in technology but primarily for more practical matters.
May 02, 2019
FINRA Plans Restrictions on BDs With History of Hiring Bad BrokersThe proposed rule, out for comment until July 1, includes requiring a BD to have a fund to cover unpaid arbitration awards.
May 02, 2019
Uncertainty on Advisor Conduct Rules Raises Costs, Hurts Investors: SEC ChiefJay Clayton tells a fund industry group why the SEC's rulemaking on advice standards is so important to him.