Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
The Benefits of Keeping the Bigger Comp Picture in Mind
By Angie HerbersThere are plenty of reasons advisors should make their compensation plans about more than money.
February 26, 2018
FSI Backs DOL's Association Health Plan ProposalThe independent advisor trade group could offer health insurance to members if Labor expands access to association health plans.
February 23, 2018
How Scottrade Could Have Avoided DOL Rule ChargesScottrade made a bet that the Impartial Conduct Standard wouldn't be enforced. It lost. But, for now, there's another way firms can keep sales incentives.
February 22, 2018
3 Types of Cyberattacks and How to Avoid Them: FINRA ConferenceOne key reminder: Many attacks are due to human error.
February 22, 2018
Size of RIA Deals Up 45% in 2017: FidelityAccelerating consolidation is expected this year, industry watchers say.
February 21, 2018
Janney Nabs $220M Merrill Advisor: Recruiting RoundupMeanwhile, an H.D. Vest affiliate, the Carson Wealth Group and R.M. Davis announce new financial advisors and investors.
February 21, 2018
Bigger M&A Deals Kicked Off 2018: FidelityFidelity examines M&A activity among RIAs and independent broker-dealers.
February 21, 2018
How to Conquer Your Top Fear When Changing Broker-DealersThere are many reasons to switch BDs; making sure your clients understand your motivation is key to keeping them.