Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
How to Avoid the Dreaded 8210 Letter From FINRA
By John TredennickBeing proactive, and using technology, can help you avoid a full-on FINRA investigation.
November 01, 2018
Cetera Launches My 401(k) AssistantThe tool allows Cetera advisors to "in-source" some critical retirement plan-related functions.
November 01, 2018
LPL Picks Up $800M Seattle Group From Rival: Recruiting RoundupMeanwhile, Raymond James continues to add reps from Wells Fargo, and Ameriprise recruits a team from FSC.
November 01, 2018
SEC's Clayton: Advice Standards Package Done by September, 'if Not Sooner'Clayton tells ThinkAdvisor that changes are also expected to Reg BI and Form CRS.
October 30, 2018
FINRA Fines LPL $2.75M Over Complaint Reporting, AML IssuesFINRA says the independent broker-dealer took too narrow an interpretation of which customer complaints needed to be reported.
October 29, 2018
Triad Advisors Names Michael Gatti VP of Business DevelopmentIn this role, Gatti will be responsible for identifying, qualifying and onboarding independent advisors.
October 29, 2018
4 Reasons the Advisor Compliance Landscape Is So ComplexFormer SEC official John Walsh talks about uncertainties around fee compression, 12b-1 fees and the broker protocol at Schwab Impact.
October 29, 2018
3 Top Tips on Multi-Gen Succession PlanningSuccession plans that include next-generation advisors take more finesse than an outright sale. Here are several ways to best address the challenge.