Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Senate Dems Call SEC Reg BI 'Confusing,' Prod FINRA for Answers
By Melanie WaddellSens. Warren, Brown and Booker say the rule is unlikely to "give investors the peace of mind they deserve."
July 17, 2018
Cetera Financial's Future Owner Is RevealedAfter months of speculation about a sale, the group—which has 8,000 affiliated advisors—is set to be bought by a private-equity firm.
July 17, 2018
Goldman Ushers in New Era as Solomon Takes Reins From BlankfeinThis is only the second handover in Goldman's two-decade run as a public company.
July 13, 2018
Why This Firm Doesn't Shy Away From Advisors With Red FlagsEd Cofrancesco of International Assets Advisory explains why he believes some advisors should get a second chance.
July 12, 2018
Morningstar Launches Its Own Funds for AdvisorsThe SEC registration for the Morningstar Funds Trust is now effective, allowing Morningstar to begin converting its Morningstar Managed Portfolio assets to Morningstar Funds.
July 12, 2018
Fidelity Launches Model Portfolios for AdvisorsFidelity Model Portfolios debuts with five different portfolios consisting of 7 to 12 Fidelity funds, based on risk tolerance.
July 12, 2018
SEC Exam Unit Highlights Advisors' Best Execution FailuresFailing to disclose soft-dollar arrangements made OCIE's list.
July 12, 2018
Ben Edwards, Raymond James Grab Wells Fargo Advisors: Recruiting RoundupMeanwhile, a former Merrill Lynch advisor in Chicago goes independent with Dynasty Financial Partners.