Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
FINRA Advances Bonus Disclosure Plan for Brokers
By Melanie WaddellFINRA fulfilled its promise to seek comments on its controversial plan to require brokers to disclose their pay packages.
December 26, 2012
PBS exposes financial industry's hidden truthA generic TV program put things in perspective: Do we simply sell products, or is our role to serve (and protect) the investing public?
December 21, 2012
Revolutionizing AdviceThe broker-dealer industry has entered a period of profound change, one that is characterized by fundamental shifts in demographics and attitudes, and in the very nature of the advice model.
December 20, 2012
Wirehouses, IBDs Post Final Recruiting Wins, Losses of 2012Morgan Stanley, Merrill Lynch and other firms saw a number of advisors come and go at year end.
December 20, 2012
FSI Endorses Senate Bid to Preserve Retirement Tax IncentivesAs fiscal cliff talks stagger on, independent broker-dealer group praises Senate Concurrent Resolution 62, and points out that taxes on retirement plans are only deferred.
December 19, 2012
2013 regulatory landscape: State and FederalIf you thought 2012 was chaotic, hold on to your hats: 2013 may well be one of the busiest years regulators and brokers have seen.
December 18, 2012
Massachusetts Slaps Morgan Stanley With $5M Fine Over Facebook IPOMassachusetts regulators said the firm's investment bankers had 'inappropriate influence' on its research analysts
December 14, 2012
LPL Taps Ex-Dell CIO for Top Tech PostVictor Fetter will move from Austin to Charlotte, N.C., to head the independent broker-dealer's growing IT squad.