Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
FSI Is Optimistic It Can Work With New Congress
By Janet LevauxLeaders of the advocacy group are also focused on state regulatory action and health care coverage for members.
January 28, 2019
$650M Morgan Stanley Team Leaves to Form RIAThe three advisors, who spent the past nine years at the wirehouse, now trade securities through Purshe Kaplan Sterling Investments.
January 28, 2019
FINRA to Crack Down on 529 Plan Share Class RecommendationsTo be eligible for a new voluntary disclosure program, broker-dealers must self-report to FINRA Enforcement by noon on April 1.
January 25, 2019
Betterment, XY Planning Offer Free Services for Unpaid Government WorkersBetterment and XY Planning Network are offering free advice for workers affected by the shutdown.
January 25, 2019
FSI Showcasing Female Leaders at Yearly ConferenceThe three-day event for independent firms and advisors is taking place in New Orleans Jan. 28-30.
January 24, 2019
Nevada's 'Expansive' Fiduciary Plan Shocks BDs, RIAsWhat's the biggest difference between Nevada's plan and Reg BI? Nevada's plan includes a private right of action, says Drinker Biddle's Reish.
January 24, 2019
Envestnet | Yodlee's AI Firm Purchase Is a 'Strategic Move': Tech InsiderThe technology lets financial firms work with clients through Amazon Alexa, Google Assistant, SMS and Facebook Messenger.
January 24, 2019
DOL, SEC Fiduciary-Related Rules to Be a 'Heavy Lift': Attorney ChoiRichard Choi and IRI hope the SEC's VA summary prospectus will be adopted later this year.