Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Baird Boosts Recruiting as Reps Boost Sales 12.5%
By Janet LevauxMilwaukee-based Baird now includes about 700 financial advisors, says Matthew Curley, national sales director and COO of Bairds private-wealth management operations.
March 02, 2012
SERFF'S up for NAICThe unilateral decision by officials of National Association of Insurance Commissioners to broaden the use of the System for Electronic Rate and Form Filing (SERFF) to include regulatory purposes is coming under strong fire from industry trade groups.
March 02, 2012
SERFF'S up for NAICThe unilateral decision by officials of National Association of Insurance Commissioners to broaden the use of the System for Electronic Rate and Form Filing (SERFF) to include regulatory purposes is coming under strong fire from industry trade groups.
March 02, 2012
FINRA to Restructure BrokerCheck, Giving Investors More PowerProposed changes include not only unifying BrokerCheck and the SECs IAPD system, but also divulging broker/advisor test scores.
February 28, 2012
SEC Issues Risk Alert on Unauthorized Trading in Brokerage, Advisory AccountsThe Risk Alert issued by the SEC warns that although BDs and RIAs are subject to different regulatory requirements, both face similar risks of financial and reputational losses arising from unauthorized trading.
February 28, 2012
Raymond James Recruits $2.7 Million Advisor TeamRaymond James added a $2.7 million team to its ranks, the broker-dealer announced Tuesday.
February 28, 2012
Raymond James Clears Hurdle in Morgan Keegan MergerA stipulated period for certain antitrust procedures has ended early, the company says.
February 28, 2012
SEC, CFTC Issue Joint Rule Proposal on Identity TheftThe SEC on Tuesday announced a rule proposal to help protect investors from identity theft by ensuring that broker-dealers, mutual funds, and other SEC-regulated entities create programs to detect and respond appropriately to red flags.