Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
8 Surprising Findings in the fi360-AdvisorOne Fiduciary Survey
By Kate McBrideMost brokers and advisors say extending the fiduciary standard to brokers wont cost investors more or limit their choices; would help restore investor confidence.
January 14, 2011
Valerie Brown Says Cetera Is Investing to Meet BD, Rep Needs: The Weekend InterviewIncreased margin pressure on all IBDs, will lead—is already leading—many smaller broker-dealers to seek the shelter of larger BDs.
January 13, 2011
CFTC Approves Dodd-Frank Rules on DerivativesMembers of the Commodity Futures Trading Commission approved two rules proposed by the Dodd-Frank Act to regulate position limits for derivatives and swap trading relationship documentation requirements Thursday morning.
January 12, 2011
Summit Financial Services Hires Don Shula for Recruiting Effort‘Winningest’ NFL coach will serve as corporate spokesperson.
January 11, 2011
HighTower ‘Tucks In’ a Morgan Stanley Broker to Existing RIA FirmThe firm that has attracted a raft of brokerage teams from major wirehouses to partner under its RIA umbrella announced its first tuck-in transaction.
January 06, 2011
Younger Agents: Burden or Bellwether?The other day, a reader called to take one of our recent contributors to task for a piece on the virtues of reaching out to ...
January 03, 2011
LPL Financial Shares Drop on ‘Sell’ ReportCiti rating comes one week after LPL’s stock rose on more positive equity research
January 01, 2011
State of Regulation: A Conversation with FSI’s Dale BrownAs always, when looking to make sense of the regulatory environment, we turn to Dale Brown, president and CEO of the Financial Services Institute.