Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Do Titles Matter? Advisors Weigh In
By Melanie WaddellIndustry officials and advisors discuss the SEC's plans to restrict brokers' use of "adviser" and "advisor."
August 27, 2018
SEC Orders Transamerica Affiliates to Repay $97M Over Rookie's Faulty Quant ModelsThe four affiliates launched the products and strategies "without first confirming that the models worked as intended," SEC said.
August 24, 2018
More Fintech and Active/Passive Analysis in Next Year's CFA ExamThe updated CFA curriculum reflect the latest changes in investment management.
August 24, 2018
The Potential Fallout From JPMorgan's Free Stock Trades PlanMoody's Investors Service analysts foresee a negative impact on Schwab, TD Ameritrade and E-Trade.
August 24, 2018
$100M Pension Scam Run by Ex-Con Hit With LawsuitsAn "eager and complicit network" of brokers and advisors made the scam possible, said attorney Joseph Peiffer.
August 23, 2018
Raymond James Grabs $1B Wells Fargo Team, $235M Merrill Group: Recruiting RoundupRBC Wealth Management said a team with $390 million and an advisor with $170 million have been recruited from Wells Fargo; Janney picks up a Merrill group with $235 million.
August 22, 2018
SEC's Clayton Says Sales Contests Must Die"Main Street investors have no tolerance for certain questionable sales practices such as high-pressure, product-based sales contests," Clayton said Wednesday.
August 22, 2018
Investing View From the Advisory Frontlines: A Talk With Advisors, Part IWhat are the challenges advisors face in their businesses, from investing to compliance, and what are the biggest challenges in their practices?