Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
SIFMA Announces Principles to Safeguard Customer Data
By Bernice NapachThe four principles are designed to help protect the security of customer data accessed by third-party data aggregators.
April 11, 2018
SEC to Take Up Fiduciary Proposal on April 18The agency plans to consider a 'rule to establish a standard of conduct for broker-dealers,' according to a meeting notice.
April 11, 2018
FINRA Hires New Exam Chief From SchwabBari Havlik replaces Susan Axelrod, who's headed to Merrill.
April 10, 2018
Woodbury Buys $10B Capital One Advisory UnitThe transaction could add more than 50 advisors to Woodbury and give it nearly $50 billion in assets.
April 10, 2018
Why Advisor Independence Remains StrongSchwab offers an encouraging survey of the industry it helped to create.
April 09, 2018
Clients Rate Top Financial Services Firms in 6 CategoriesA new Hearts & Wallets report measures customer trust and loyalty, the intent to invest more and intent to recommend.
April 09, 2018
Nearly 1 in 4 Advisors Switched Firms in Last 5 Years: FidelityMost of the movers are going to RIAs and independent broker-dealers, Fidelity finds.
April 05, 2018
FINRA Updates AML Template for Small Broker-DealersThe update reflects small BDs' obligations under FINRA Rule 3310 in light of FinCEN's final rule on Customer Due Diligence Requirements for Financial Institutions.