Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
SEC Adopts Stricter BD Custody Rules
By Melanie WaddellThe new rules for BDs will provide important additional safeguards for investors, according to SEC Chief Mary Jo White.
July 30, 2013
BrightScope Defends a Business Model Modeled After MorningstarBrightScope's methods irritate some, but others see a chance to clean up some of the industry's problems.
July 30, 2013
FSI’s First FA Conference Attracting Attendees, High-Profile SpeakersWith expressed intent to not replicate other BD conferences, debut conference for FSI advisors features three tracks, and DOLs Phyllis Borzi in a Q&A with attendees.
July 29, 2013
LPL Financial Expanding Retirement-Plan PlatformLPL Financial says it has beefed up its retirement planning platform with tools for financial advisors and plan participants from Morningstar Associates,…
July 29, 2013
Risky Business: How to Protect Your Firm From Wire FraudSomeday soon an advisor will have to declare bankruptcy because he cannot cover the losses incurred in a fraudulent third-party wire transfer.
July 29, 2013
Broker-Dealer INVEST Signs Equity BankINVEST currently supports 150 banks and credit unions and 1,100 representatives nationwide.
July 26, 2013
SIFMA Pushes for Higher Muni Trading StandardThe industry group is asking the Municipal Securities Rulemaking Board to follow its suggestions for the good of investors.
July 25, 2013
Ameriprise Lifts Profits 44% on Strong Wealth ResultsFlows of client assets into advisor wrap programs were $3.1 billion in Q2, down from $4.1 billion in Q1.