Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
SEC, FINRA Plan Compliance Outreach Seminar for BDs
By Melanie WaddellThe program is to be held June 27 in Chicago and will focus on protecting retail investors, digital assets, cybersecurity and anti-money laundering.
April 17, 2019
SEC Fires Off Warning on Privacy RegulationOCIE sets out violations of Reg S-P that have shown up in recent exams.
April 16, 2019
Will Trump Memo Slow Down SEC's Reg BI?A memo from the OMB states that major rules, like the SEC's best-interest rules, must be reviewed by Congress.
April 15, 2019
New Jersey Unveils Proposed Fiduciary RuleThe proposal covers BDs, agents and advisors but excludes some advisors already acting as fiduciaries.
April 15, 2019
FINRA Clarifies How BDs Should Handle Departing Rep InformationBut the notice is vague on whether BDs must tell clients a rep was fired, a lawyers' group says.
April 15, 2019
ProcureAM's Space ETF (UFO) Takes Off: Portfolio ProductsAlso, First Ascent Asset Management launched factor-based portfolios to be offered for a low, flat annual fee.
April 11, 2019
Will Wells Fargo, JPMorgan Hit or Miss With Q1 Earnings?The large banks and other sectors are facing headwinds when it comes to beating prior results, analysts say.
April 11, 2019
Janney Nabs 14 Wirehouse Reps, as Baird Grabs 4: Recruiting RoundupThe firms are bringing over advisors from Merrill Lynch, Wells Fargo and UBS; meanwhile, Raymond James picks up a three Wells Fargo FAs.