Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
RCAP to File for Bankruptcy; Cetera to Become Private Firm
By Janet LevauxDespite industry speculation, the group of independent broker-dealers is not being sold.
December 31, 2015
Who Wins, Who Loses With New DOL Rule? $3 Trillion in PlayMorningstar's Stephen Ellis looks at the costs, benefits of DOL fiduciary rule, says $3 trillion in assets will be affected.
December 31, 2015
Clock Ticking on Advisors' Compliance With SEC Pay-to-Play RulesNow that FINRA, MSRB have filed pay-to-play rules with SEC, compliance with third-party solicitor provision at hand.
December 29, 2015
Raymond James Grabs Wells Fargo Rep in DenverVeteran advisor Robert Campbell comes on board with an associate and some $190 million in client assets.
December 29, 2015
4 resolutions that will boost your practice in 2016With a little stick-to-itiveness, perhaps these tips will last longer than the typical New Years resolution!
December 29, 2015
4 resolutions that will boost your practice in 2016With a little stick-to-itiveness, perhaps these tips will last longer than the typical New Years resolution!
December 28, 2015
The Hole in the (Fire)Wall GangThe financial industry can consider it a sure thing that cyber-risk will hit different segments in different ways in the year ahead.
December 28, 2015
New Resolutions for Old ChallengesAs we head into 2016, a final rule from the DOL defining who is a fiduciary when giving retirement advice is finally, maybe, on the horizon and a looming talent shortage threatens to stymie advisory firm growth.