Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
House Panel Postpones Markup; NAIFA Pans Proposed Amendment
By Arthur D. PostalThe House Financial Services Committee will wait until Oct. 27 to mark up a group of financial regulatory system reform bills.
October 14, 2009
Commonwealth Rolls Out Retirement Consulting ProgramThe broker-dealer's retirement program gives advisors access to the retirement marketplace and lets them offer plan-sponsor and participant-level advice.
October 07, 2009
Merrill 'Bringing Back the Bull,' Says Sallie KrawcheckBank of America re-introduces Merrill Lynch in major ad campaign, cites "the importance of culture."
October 07, 2009
FSI Supports a Universal Standard of Care for Financial AdviceGroup wants to close examination and enforcement gap between B/Ds and RIAs
October 05, 2009
First Allied Securities Rolls Out Hybrid Solution for AdvisorsFirst Allied Securities, Inc., a leading independent broker/dealer, has launched a hybrid business model designed to create a cost-, time-, and technologically efficient environment for...
October 05, 2009
NAIFA: IPA Bill Fiduciary Standard UnrealisticThe National Association of Insurance and Financial Advisors is trying to change a fiduciary standard provision in a major new financial services reform bill.
October 01, 2009
Community Awards Raise Money, Highlight Advisor VolunteersThird annual leadership awards soldier on through difficult times
October 01, 2009
Citi to Sell Smith Barney StakeCitigroup CEO Vikram Pandit has confirmed that the bank expects to eventually sell the remaining stake in its Smith Barney brokerage venture.