Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Goldman’s Q3 Sales Fall 20%, Profits Flat
By Janet LevauxRevenue at the investment bank fell 44% amid companywide cost cuts of 25%.
October 15, 2013
Schwab Q3 Results Surprise Analysts; Citi Fails to Hit EstimatesNet new assets for Schwab were nearly $43 billion, a big jump, according to CEO Bettinger.
October 14, 2013
Holding Onto Clients: Start by ListeningA basic level of trust is necessary for a client to hire an advisor, but a deeper level is needed to retain that client.
October 10, 2013
PCAOB Toughens BD Audit StandardsThe Public Company Accounting Oversight Board adopted on Thursday several new audit requirements for broker-dealers.
October 10, 2013
SEC's White: Fiduciary rule remains 'major focus''It's very important to work on and resolve where we are going on it,' White said.
October 10, 2013
Firm Reaps Huge Growth Fulfilling Advisors’ To-Do ListsWe connect the dots between what the advisor knows he needs to do and what he has time to do, says Robert Fross of Platinum Advisor Strategies.
October 10, 2013
TIAA-CREF to Boost Advisor Headcount by 45%Recruiting from banks, IBDs and wirehouses, TIAA-CREF has added nearly 200 advisors since the start of 2012 and wants to add 200 more.
October 09, 2013
SEC’s White: Fiduciary Rule Remains ‘Major Focus’Whites comment comes as SEC investor advisory subcommittee attempts to "shape the form" of fiduciary rulemaking.