Broker Dealers
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Green Alpha Advisors Introduces Next Economy Social Index: Portfolio Products
By Emily ZulzAlso, BNY Mellon expands its trust network and Morningstar chooses Northern Trust as global custodian for Morningstar Funds.
May 10, 2018
DOL Fiduciary Rule Still Effective Until Court Issues Mandate: LawyerThe 5th Circuit has yet to issue an order to vacate the rule, as it was expected to do on Monday.
May 10, 2018
Amended FINRA Customer Confirmations Rule Kicks In MondayAmended rule requires BDs to disclose more transaction-related information to retail customers for trades in fixed income securities; MSRB gets SEC OK to establish a new advertising rule
May 09, 2018
Cetera Grabs LPL Recruiting Exec, Cooling Rumors of Sale to RivalPlus, Cetera CEO Robert Moore says there is more hiring to come in business development for the IBD network.
May 08, 2018
CFTC Warns Investors Against Binary Options FraudIn its effort to expand investor education, the Commodity Futures Trading Commission has released a pair of videos to warn investors against buying…
May 08, 2018
Steward Partners Adds Wirehouse Reps, Opens Office in Morristown, N.J.Advisors from Wells Fargo and Morgan Stanley join the Raymond James affiliate with an expected $360 million.
May 07, 2018
Morningstar Launches Investment Analysis Platform for Wealth ManagersMorningstar Direct for Wealth Management allows multiple teams at wealth management firms to share information in real time.
May 04, 2018
LPL Beats Earnings Estimates, but Will It Fall Behind?'The company is not strategically well positioned,' one analyst says, but another is more optimistic.