Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Process Inefficiencies May Be Hurting Your Business
By Angela PecoraroProcesses that work well with a few employees may need updating when your headcount grows.
March 26, 2019
Wells Fargo Launch; Kestra Finds Buyer; Moore Leaves Cetera: BD RoundupThe wirehouse says its new program is a "category killer." Meanwhile, one independent broker-dealer wins the backing of a private equity group, and another loses its CEO.
March 26, 2019
Advisor Exam Rate May Fall in 2019, Says SEC; New Services Planned for Emerging FirmsPlus, Dynasty Financial Partners shares details about its new headquarters, and Raymond James hires a new executive for its Investment Advisors Division.
March 26, 2019
Tech Execs Warn of 'Consumer-ification of Wealth Business'Advisors must boost adoption of digi tools to stay relevant, say Black Diamond execs Eli George and Bjorn Widerstedt; meanwhile, TD Ameritrade Institutional tech guru Dani Fava urges advisors to watch and read more sci-fi.
March 26, 2019
Don't Let Your Cybersecurity Policy SlipThe SEC has been clear on what it expects from advisors on data protection. Are you up to speed?
March 26, 2019
Is Your Firm's Legacy Technology a Ticking Bomb?Advisors can avoid the headaches of being forced to replace old systems on the fly by taking these pre-emptive actions.
March 26, 2019
Roundup: SEC 12b-1 Settlements, Wells in Hot Seat, and Treasury Regs HousecleaningThe SEC's share class initiative is showing results, while Rep. Waters says Wells Fargo is 'too big to manage' and Treasury axes tax regs.
March 26, 2019
Reg BI Readiness Questioned on All Fronts: SEC Commissioners, Trade Groups, LegislatorsAs new BD regulations get aired out, two points emerge: Reg BI is "fixable" and states need to see how it works before making own laws.