Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
SEC's White: Fiduciary rule remains 'major focus'
By Melanie Waddell'It's very important to work on and resolve where we are going on it,' White said.
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.
October 09, 2013
Roame Predicts Next Scandal in Advisory IndustryThe consultant points to the next industry scandal in his keynote address at confab in San Francisco, along with several other key trends.
October 09, 2013
H.D. Vest Hires LPL Vet to Lead Marketing, RecruitingRuth Papazian will be chief marketing officer; Adi Garg to head information services.
October 07, 2013
New Layer of BD Audit Rules Mulled by PCAOBThe new standards will have a "wide impact" if adopted, says securities lawyer Josh Horn.
October 03, 2013
Fiduciary rules will cost millions in complianceThe proposed changes to the fiduciary standard could cost up to $8 million to set up and about $2 million a year to maintain, per broker-dealer.
October 03, 2013
Merrill Nabs $11M Team From UBS; Raymond James Recruits $1.8M Group From FiNetMeanwhile, Morgan Stanley adds a $1.9 million institutional advisor from Merrill in Atlanta.
October 02, 2013
8 Steps to a Successful Succession Plan: United PlannersToo many advisors still run their firms as a practice, rather than a business, says UP's Caffari-Agasi.