Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
RCAP-ARCP Settle Cole Issue; Cetera Rolls Out 2 Advisor Programs
By Janet Levaux[Editor's Note: This article was written in early December and went to print in mid-December; it appears in the January 2015 print publication of "Research"…
December 03, 2014
HighTower Gives Advisors Envestnet Retirement ToolThe partnership aims to boost the retirement plan business of its independent advisors.
December 02, 2014
FINRA Responds to SIFMA's Latest Critiques of Proposed Data SystemIndustry trade groups raise fresh concerns with latest plan to collect broker-dealer account data through Comprehensive Automated Risk Data System.
December 02, 2014
Six Do’s and Don’ts for Advisor Due DiligenceThe key is to tailor a due diligence program to your specific practice and the potential risk posed by each third-party service provider.
December 01, 2014
Raymond James Adds Ex-LPL Group in N.J.Boutique wealth groups add teams in Arizona and Iowa.
November 26, 2014
How Fiduciary Advisors Can Change Wall Street—AgainRon Rog and NAPFA pushed, and the public pulled, big brokerages to adopt an AUM model. The same can be done with a fiduciary standard.
November 25, 2014
‘Faulty’ Analysis Could Torpedo an SEC Fiduciary Rule: AdvocatesSECs analysis on a fiduciary rule must be thorough and well-reasoned, as a faulty analysis could doom or further delay prospects for reform.
November 24, 2014
Schorsch Unit Draws State Regulator's ScrutinyMassachusetts regulators are investigating Realty Capital Securities, a spokesperson said in early November.