Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Ladenburg Thalmann to Acquire Securities Service Network
By Sabrina BachaiAs part of its growing network, Ladenburg Thalmann is now acquiring broker-dealer and registered investment advisor Securities Service Network.
September 19, 2014
3 Tips to Avoid Social Media Compliance ProblemsNo matter what social media platform advisors use, here are some important tips for staying compliant.
September 18, 2014
Schwab Adds 65 ETFs to Fee-Free PlatformInvestors can now trade more than 180 ETFs online through Schwab with no charge.
September 17, 2014
SEC’s uniform fiduciary rule could ‘haunt’ advisorsA uniform fiduciary standard for brokers and advisors is not going to work, according to one industry expert.
September 17, 2014
SEC’s uniform fiduciary rule could ‘haunt’ advisorsA uniform fiduciary standard for brokers and advisors is not going to work, according to one industry expert.
September 17, 2014
Knut Calls Out the Brokerage Industry on Fiduciary StandardKnut Rostad makes the case why a fiduciary standard for all financial advisors is more important than ever today.
September 16, 2014
SEC’s Uniform Fiduciary Rule Could ‘Haunt’ AdvisorsCreating a uniform fiduciary duty rule for brokers and advisors is a deeply flawed concept, says former investment management deputy director Robert Plaze.
September 15, 2014
7 Ways to Avoid Picking a Bad AdvisorIf a veteran Wall Street Journal editor covering wealth management gets duped by his advisor, Eric Nelson says, what chance do ordinary investors have?