Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
5 Test-Taking Tips for FINRA's New SIE Exam: Kaplan
By Ginger SzalaHere's what to expect from the exam, according to Kaplan, which has prepared thousands of test takers.
February 21, 2019
Cambridge Streamlines Data Input for AdvisorsAdvisors will avoid multiple inputs with new technology that uses bi-directional data synced continuously through the system.
February 21, 2019
Have Fee-Based Models Won the Battle ... or the War?A Cerulli Associates study looked at fee and commission models and asked which pay structure investors preferred.
February 21, 2019
CFTC Compliance Branch Releases Its First-Ever Exam Priorities ListHere's what advisors and BDs registered as CTAs or commodity pool operators should prepare for.
February 20, 2019
HighTower Nabs $2.6B Group in Memphis: Recruiting RoundupMeanwhile, Raymond James' Alex. Brown division has added a veteran advisor from Wells Fargo with $113 million in client assets in Boston.
February 20, 2019
Moore's Exit Raises Deeper Questions at Cetera"Another storm" at the IBD group raises issues about its leadership, recruiting and retention, industry consultants say.
February 19, 2019
Cetera CEO Moore Stepping DownThe news comes about two and a half years after he was tapped to lead the IBD firm, which private-equity group Genstar Capital recently bought.
February 19, 2019
Please Harmonize With SEC Reg BI: Insurance Groups to NAICIRI is praising the SEC's approach. Three other groups told the NAIC they want a buffer against state fiduciary rule proposals.