Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
BD Fee Disclosures Have ‘Wide Disparity’: NASAA
By Melanie WaddellBDs are also using questionable practices in relation to fee charges and markups, according to a survey released Thursday by state regulators.
April 23, 2014
Cybersecurity Enforcement Actions May Have ‘Significant’ Fines: SutherlandAn SEC crackdown on cybersecurity is coming, law firm Sutherland Asbill & Brennan predicts, and the penalties could be steep.
April 21, 2014
How to advise clients who want to sell coin collectionsThe first issue to clarify with the collectors heirs is whether theyre dealing with an accumulation or a collection.
April 21, 2014
Wall Street Bond Dealers Whipsawed on Bearish Treasuries BetBetting against U.S. government debt this year is turning out to be a fools errand. Just ask Wall Streets biggest bond dealers.
April 20, 2014
How to Cash In on Rare CoinsNumismatic experts outline a few key steps for investors to find potential profits and diversify portfolios.
April 17, 2014
SEC Launches Cybersecurity Exams of BDs, AdvisorsThe SEC says it has launched cybersecurity-related exams of more than 50 registered broker-dealers and RIAs.
April 17, 2014
Raymond James, Securities America and NFP Unit Add Teams, BreakawaysSix reps, including two father-son teams, switched firms with a total of more than $920 million in client assets.
April 16, 2014
ThinkAdvisor’s 2014 Q1 Earnings Calendar for the Finance SectorThe first-quarter 2014 earnings period is now under way, with many finance sector companies reporting.