Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
FSI Says 12b-1 Rule Change Will Confuse Investors, Be Ineffective
By James J. GreenThe Financial Services Institute warned of the "important unintended consequences" for IBDs, reps and clients should the SEC's proposed changes to Rule12b-1 be adopted.
November 04, 2010
SEC Votes to Adopt 'Naked Access' RuleThe SEC voted Wednesday to adopt a rule that required broker-dealers to establish "risk controls" before providing their customers with market access.
November 04, 2010
LPL Assumes IPO Price of $28.50 Per ShareLPL Financial, the largest independent broker-dealer, filed an amended Form S-1 with the SEC on Wednesday that assumed an IPO price of $28.50 per share for 17,176,195 shares of common stock, though it did not set a date for its much-anticipated IPO.
November 02, 2010
Successful Recruiting Tactics To Grow Your BranchDeciding to grow your business by adding advisors to your branch is a decision filled with multiple variables, not to be taken lightly.
November 02, 2010
Successful Recruiting Tactics to Grow Your BranchDeciding to grow your business by adding advisors to your branch is a decision filled with multiple variables, not to be taken lightly.
November 02, 2010
Taking Barclay’s HNW Financial Personality TestWhat it's like to complete the Barclay's Wealth assessment and emerge as a nervous Nellie client
November 02, 2010
Timing Is Everything: The CFP Board’s Ad Campaign, and Higher FeesBob Clark is schooled on the CFP Board's bid to raise dues on certificants by Marilyn Mohrman-Gillis of the Board.
November 01, 2010
SIFMA: Uniform Fiduciary Standard Bad for Product MenusThe Securities Industry and Financial Markets Association today released a study indicating that applying a uniform fiduciary standard to all investment product sales would likely reduce product and service availability.