Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Raymond James Nabs $2.6M Ex-RBC Team
By Janet LevauxIn addition, a former Merrill Lynch rep affiliates with LPL Financial, and Baird adds an ex-UBS team.
February 06, 2015
SEC to Conduct ‘IT-Related’ Exams of BDs, AdvisorsExaminers will take a targeted look this year at the quality of the technical infrastructure of firms cybersecurity controls.
February 06, 2015
Wells Fargo Advisors Names New Compliance ChiefJim McHale used to head compliance at E*Trade and served as counsel to SIFMA.
February 05, 2015
FSI Boosts Lobbying on Federal, State LevelsWith 10 staffers working the federal and state beatsand three more to be hired this yearthe FSI is flexing its advocacy muscles.
February 05, 2015
Bills on 529 Plans, Small Biz Taxes Head for House VoteFSI supports the two bills: one to loosen some rules on 529 plans and another to allow small businesses to deduct office equipment.
February 04, 2015
Raymond James FAs to Refund Some Fees to Retirement Plans, Charity TrustsSome mutual fund clients, like qualified retirement plans, didn't get fee waivers they were eligible for, the firm said.
February 03, 2015
Cetera Rolls Out Marketing Platform, Leaves Schorsch Drama in DustCEO Larry Roth says the network of broker-dealers is focused on building advisor results.
February 03, 2015
BDs’ Cybersecurity Stronger Than Advisors’: SEC, FINRA ReportsBoth the SEC and FINRA will "likely bring enforcement actions if firms policies and procedures are found to be deficient, warns Sutherland's Brian Rubin.