Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Burt White: 'If We Lose the Humanity, We're Toast'
By Jane Wollman RusoffCarson Group is looking to the future and has big M&A plans, the exec tells ThinkAdvisor.
February 09, 2024
New FINRA Arbitrator Selection Rules Start March 4The changes are intended to make the arbitrator selection process more transparent.
February 09, 2024
SEC Hits 16 Firms With $81M in Texting FinesThe firms agreed to pay the SEC combined civil penalties of more than $81 million.
February 07, 2024
Advisors Tap Into Personalized Content Marketing, With AI Help: StudyNext-generation technology can contribute to meeting clients' high-touch expectations, Broadridge research found.
February 06, 2024
More Reg BI Actions on The Way: FINRA Enforcement ChiefFINRA is also looking to improve communication and resolve cases faster, Bill St. Louis says.
February 05, 2024
T+1 Starts in May. Are You Ready?Under the new settlement cycle, most securities transactions will settle on the business day following their transaction date.
January 29, 2024
Raymond James Revamps Independence Plus PlatformIt has expanded services for transitioning advisors, who can now pick and choose more options for how they set up, run and grow their firms.
January 26, 2024
JPMorgan Shuffles Top Managers as Jamie Dimon Prepares SuccessorsThe shuffle, halfway through Dimon's five-year retention package, affects Marianne Lake, Jenn Piepszak and Troy Rohrbaugh.