Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
The 3 Best Ways Indie Firms Can Add Female Advisors
By Amy RehnThe industry knows it needs to diversify, and steps being highlighted at the Ladenburg Institute of Women & Finance Symposium can help.
October 03, 2017
FPA, CFP Board Formalize Their CollaborationThe stronger collaboration is designed to benefit the organizations, the financial planning profession and the public.
October 02, 2017
FINRA Zeros In on Bad Brokers, Arb Transparency and New EnforcementIt's been a little over a year since Robert Cook took the helm as CEO of the Financial Industry Regulatory Authority and launched a top-to-bottom review of the self-regulator via the FINRA360 initiative.
October 02, 2017
Is the Time Ripe for the SEC to Regulate Broker/Advisor Titles?As the Securities and Exchange Commission mulls a fiduciary standard rule of its own, should the agency also tackle regulating advisor and broker titles?
October 02, 2017
LPL Financial Lays Out Plans to Add Four NPH Broker-DealersLPL Financial confirmed industry speculation by announcing that it recently bought Jackson National Life-affiliate National Planning Holdings four broker-dealers.
October 02, 2017
RBC Wealth Grabs Rival’s Top RecruiterMichael Parker was an executive vice president and chief development officer for HighTower Advisors.
September 29, 2017
GOP Framework Would Raise Taxes for Many of Your ClientsAnalyses from the conservative-leaning Tax Foundation and liberal-leaning Tax Policy Center agree that those in the 90th-95th percentiles for income would pay more.
September 28, 2017
New York Reminds Student Borrowers to Apply for Loan ForgivenessTrump has threatened to end the program, but Attorney General Schneiderman notes it's still intact and his office will help New Yorkers wrongfully denied eligibility.