Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Former SEC Exam Chief Walsh: SEC Whistleblower Program 'Showing Traction'
By Melanie WaddellThe former chief counsel at the SEC's exam division, John Walsh, has formed a Whistleblower Response Team with several of his colleagues to help firms develop whistleblower response programs as the SECs 'initiative is beginning to show traction.'
January 01, 2012
Finding the Right Safety NetWhen changing broker-dealers, transition time is typically briefonly one or two months.
December 23, 2011
NAIBD Welcomes Experienced Broker/Dealers to Board of DirectorsHeading into what will certainly be a challenging year for small broker/dealers full of new regulations, the National Association of Independent Broker/Dealers (NAIBD) has recruited two industry veterans to its Board of Directors.
December 21, 2011
Ameriprise Adds Morgan Stanley, Other Reps With $565M in AssetsIndependent and employee advisors join Ameriprise Financial in California, New Jersey and Oklahoma
December 20, 2011
Raymond James Adds $425M-plus FAs From Merrill, UBS and Morgan StanleySeven advisors with more than $425 million in assets joined the employee channel of Raymond James in Virginia and Florida.
December 16, 2011
RIAs With $410M in AUM to Custody With Raymond JamesFour firms, including an ex-Ameriprise affiliate, join Raymond James' RIA division with combined assets of $410 million.
December 16, 2011
SEC to Get $136M Increase Under New Spending Bill for 2012Bipartisan deal to avert government shutdown includes $1.3 billion in funding for the SEC in 2012, but $25 million cut from Dodd-Frank reserve fund; extension of payroll tax cut still up in the air.
December 15, 2011
Advisor SRO Would Cost Twice as Much as Funding SEC ExamsThe report, conducted by BCG and funded by advisor groups and TD Ameritrade, was released before a House panel vote on a spending bill that included a $136 million increase for SEC funding.