Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Career Swap: Why 7 Advisors Left These 7 Professions
By Bernice NapachThere are many more career changers than undergraduates enrolled in CFP programs, says Joseph Maugeri of the CFP Board.
March 14, 2016
Top Portfolio Products: State Street Launches SHE, a Gender Diversity ETFWho is SHE? This new State Street index ETF has the potential to outperform because of gender diversity.
March 14, 2016
SEC Fines 3 AIG Advisor Group BDs $9.5M on Excess Fund FeesSagePoint, Royal Alliance and FSC Securities steered mutual fund clients into more expensive share classes and collected $2 million in fees, the SEC says.
March 10, 2016
Recruiting Roundup: Raymond James Draws Breakaway BrokerWells Fargo adds former Merrill team; wealth executives are on the move.
March 09, 2016
More Revelations From Anti-DOL Fiduciary Rule CrowdOpposition from the broker-dealer community to the Department of Labor's pending fiduciary rule may be all about its own survival, and FINRA's.
March 08, 2016
Extraordinary Study Reveals Widespread Broker MisconductBut the academics also create some confusion in using the nomenclature "financial advisers" when they mean "brokers."
March 08, 2016
NASAA Updates Exams to Test Social Media, Cyber SmartsBD agents and IA reps taking the Series 63, 65 and 66 exams will be tested on data protection and social media starting July 1.
March 07, 2016
Wall Street bankers' average bonus falls by most since 2011Wall Street bonuses and profits fell in 2015, reflecting a challenging year in the financial markets, said New York State Comptroller Thomas DiNapoli.