Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
FINRA Hits Morgan Stanley With $10M Fine Over AML Failures
By Melanie WaddellThe broker-dealer's anti-money laundering efforts did not meet Bank Secrecy Act requirements in three areas between 2011 and 2015.
December 21, 2018
How AI Will Make or Break the Indie Advisory IndustryWe need to overcome the current trend of using AI as a tool for clients, and instead, develop it more for advisors.
December 21, 2018
How Indie Advisors Can Get More Love (and Service) From Their FirmsIn weaving your way through broker-dealer procedures, there are some specific ways to obtain as much attention and assistance as you need.
December 20, 2018
SEC's 6 Compliance Exam Priorities for RIAs in 2019The SEC "will maintain its focus on critical market infrastructure and Main Street investors" in the year ahead, says Chairman Clayton.
December 20, 2018
Merrill to Pay $6M for Advisors Who Herded IPO Shares to Friends, FamilyAt least 120 financial advisors were involved in prohibited IPO sales tied to Facebook, Twitter and other firms from 2010 to 2018.
December 20, 2018
A Fresh Way to Overcome Growing PainsIn 2019, taking a different perspective on change might be your advisory firm's ticket to success.
December 19, 2018
Digital Assets and ICOs to Get More Clarity, Face More Rules in 2019Attorneys see more CFTC guidance on virtual currencies as commodities, and continued fiduciary pressure on advisors and brokers involved in crypto.
December 19, 2018
Massachusetts Charges Advisor, Fines Stifel Over Fee ArrangementThe advisor is accused of overcharging clients and failing to tell them about his arrangement with Stifel.