Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
The problem with coal
By Richard Hoe, ChFC, CLU, AEPNo one wants coal miners in West Virginia, Kentucky and southwestern Pennsylvania to be out of work, but the lumpy black stuff is in trouble.
January 28, 2014
Focus Draws $1B UBS Breakaway TeamRaymond James tweets its recruiting news, as Morgan Stanley and UBS share their latest advisor deals.
January 28, 2014
‘Improving’ FINRA Among Top Goals for BD LobbyFSI executives say the self-regulator needs greater efficiency and cost-benefit analysis in rulemaking.
January 28, 2014
FSI Celebrates 10th Anniversary ‘Where the Action Is’Business consultant John Spence kicked off FSI OneVoice with a blizzard of advice for the nearly 800 IBD attendees.
January 27, 2014
SEC Takes Aim at Rollovers, Never-Before Examined IAsThe Securities and Exchange Commission announced its examination priorities for 2014 in mid-January, and like FINRA, the SEC will also focus on advisor and broker-dealer IRA rollover activity this year.
January 27, 2014
Harold and FiduciaryWe knew Harold Evensky has been a proponent of the fiduciary standard for advice givers for some time and that he was a leading light of the Institute for the Fiduciary Standard. So we asked the Institutes co-founder, Knut Rostad, to comment on Evenskys contributions.Ed.
January 27, 2014
12 Best & Worst Broker-Dealer 401(k) Plans: BrightScopeThe advisors own 401(k) plans at some of these BDs are lacking, BrightScope ratings show.
January 27, 2014
Why Advisors Should Watch Obama’s State of the Union SpeechFor one thing, your clients (and prospects) may be watching. For another, it's important to understand how the truth gets twisted in Washington.