Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Schwab Adds 65 ETFs to Fee-Free Platform
By Janet LevauxInvestors can now trade more than 180 ETFs online through Schwab with no charge.
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?
September 15, 2014
Schwab, TD Ameritrade Report 3% Monthly UptickTD Ameritrade also says it has expanded its online education site for RIAs.
September 12, 2014
Advisor M&A, the Alpha WayWhat separates the best from the rest is of particular concern to advisors seeking to extract value from the practices they've devoted their careers to.
September 12, 2014
FINRA Mulls Revised Broker Bonus PlanFINRA plans to consider a revised recruitment practices proposal that looks to omit the controversial retention deal aspect of the original plan.
September 11, 2014
BDs, Trade Groups Team Up to Clarify Murky BD FeesFINRA, SIFMA and other groups, with LPL and other BDs, have joined forces to develop rules that ensure BDs fees are easily understood by investors.