Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
What Fee Compression? Advisor Fees Show Little or No Decline
By Bernice NapachReports of fee compression among financial advisors are overblown, according to new analysis from Envestnet.
May 30, 2017
13 Best & Worst Broker-Dealers: Q1 Earnings, 2017The first three months of the year have seen strong markets and corporate earnings that beat analysts' estimates.
May 29, 2017
DOL’s (Possible) Loss Could Be Your GainMany advisors are lamenting attempts to dismantle Labors new fiduciary rule. Bob Clark has a different take.
May 29, 2017
Genuine GratitudeIndustry conferences give you the chance to take a new look at your job, your life and your view of success.
May 29, 2017
Destination Unknown: The 2017 Broker-Dealer Presidents PollDespite the complexity and ambiguity of Labor's fiduciary rule, broker-dealer leaders remain cautiously upbeat.
May 29, 2017
Under Pressure: The 2017 Broker-Dealer Reference GuideFor the firms participating in Investment Advisor's annual Broker-Dealer Reference Guide, the competitive and convoluted atmosphere they face today can be perplexing.
May 29, 2017
As Indie BDs Dwindle, Is FINRA Outdated?Brad Bennett, former head of FINRA enforcement, said that some brokers are becoming investment advisors to minimize their regulatory burden.
May 26, 2017
DOL Looking for Reason to Delay Full Fiduciary Compliance Date: LawyerThe department says it will issue a Request for Information; the findings could give it cover to delay past Jan. 1, lawyer Erin Sweeney says.