Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Advisors, Plan Sponsors Out of Sync in DC Plan Space
By Bernice NapachWells Fargo Asset Management compared its survey advisors to a previous one of plan sponsors to discover the gaps.
July 17, 2017
IndexIQ Lowers Fees for 3 Currency-Hedged ETFs: Portfolio ProductsAlso, OppenheimerFunds and Direxion add ETFs; Harvest and Foundation Source launch continuing ed programs.
July 13, 2017
Dynasty Nabs $1B Breakaway Team From Merrill: Recruiting RoundupMeanwhile, UBS brings on two teams with a total of $975 million in assets from Merrill's Thundering Herd.
July 13, 2017
LPL Names 20 Fund Families on New Fiduciary-Friendly PlatformSome familiar names make the list of no-load mutual funds that will be offered, with several notable exceptions.
July 13, 2017
Double-Digit Earnings Gains Will Be Tough in Q2: LPL’s WhiteAnalysts are upbeat but not exuberant in terms of their expectations for the overall earnings season.
July 12, 2017
Fidelity Is Said to Dismiss Hundreds of Workers, Axios ReportsFidelity declined to comment on the report by Axios, which was founded by former Politico veterans Jim VandeHei, CEO, and reporter Mike Allen.
July 12, 2017
SEC Chief Wants Public Input on a New Fiduciary Rule Before StartingIn his first major speech as chairman, Jay Clayton also suggested easing disclosure requirements for publicly traded companies.
July 11, 2017
Rep. Wagner Drafts Bill to Kill DOL Fiduciary RuleRep. Ann Wagners bill seeks to replace the rule with a best interest standard on BDs investment recommendations.