Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Active Funds Are Performing Better — for Now
By Bernice NapachMorningstar's Active/Passive Barometer shows better performance by active funds this year but not long term.
August 28, 2017
The Rules and the Runners Up: 2017 Broker-Dealers of the YearWork on the Broker-Dealers of the Year officially starts in March when we begin collecting performance information from firms for our Broker-Dealer Reference Guide.
August 22, 2017
CAPTRUST and CapTrust ReuniteThe two firms split in 1998 but had operated as part of the larger CapTrust organization.
August 21, 2017
FINRA Nominates Large, Small Firm Members for Disciplinary PanelSEC also approved amendments to FINRA customer and industry arbitration rules.
August 21, 2017
Are You Ready for T+2?The shorter settlement period for trades two days instead of three has implications for financial advisors.
August 18, 2017
SEC Slams Banca IMI Securities With $35M Fine Over ADRsBrokerage firm "made it possible for such ADRs to be used for inappropriate short selling or inappropriate profiting around dividend record dates," SEC said.
August 18, 2017
Citing DOL Rule, Girard Goes Indie With CeteraGirard Securities is expected to start winding down its broker-dealer platform in November.
August 18, 2017
Deficiencies Found at 97% of BD Audit FirmsDeficiencies were observed in audits at 73 of the 75 firms inspected during 2016, PCAOB's annual report says.