Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
FINRA Review, Investor Choice Act Highlight Arbitration Anomalies
By Melanie WaddellBoth initiatives highlight longstanding concerns that the arbitration forum is skewed in favor of the industry, says NASAAs policy director.
August 01, 2013
Advisors ‘Haven’t Fully Committed’ to Social Media, SEI Expert SaysAs use by clients and companies in the industry expands, financial advisors seem to be apprehensive about using social media to grow their practices.
August 01, 2013
UBS Adds Morgan Stanley Advisor, but Loses Team to Boutique FirmA group of Wells Fargo reps with about $220 million in assets departs to go independent with an LPL affiliate.
August 01, 2013
SIFMA to SEC: Revamp SRO StructureThe regulatory structure of broker-dealers and exchanges should be carried out now because that structure is widely viewed to be outdated and in need of reconsideration and reform, says SIFMA.
August 01, 2013
Who's looking out for us? Part twoWhen broker-dealers, FINRA and the SEC are all on the same team, who's there to speak for the advisors?
August 01, 2013
Who's looking out for us? Part twoWhen broker-dealers, FINRA and the SEC are all on the same team, who's there to speak for the advisors?
July 31, 2013
SEC Adopts Stricter BD Custody RulesThe new rules for BDs will provide important additional safeguards for investors, according to SEC Chief Mary Jo White.
July 31, 2013
LPL Sees 14% Jump in Q2 Profits, Topping EstimatesThe independent broker-dealer, led by Mark Casady, also had a 67% increase in assets on its hybrid platform for advisors with their own RIAs.