Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Pick Your Frequency
By Steven Krawciw And Irene AldridgeClaims and counterclaims about the value of high-frequency trading filled the airwaves over the summer of 2009.
October 20, 2009
House Panel Postpones Markup; NAIFA Pans Proposed AmendmentThe House Financial Services Committee will wait until Oct. 27 to mark up a group of financial regulatory system reform bills.
October 19, 2009
The View From Outside The IndustrySuitability aside, industry representatives remain divided as to what a "harmonized" standard should specify.
October 18, 2009
The View From Outside The IndustrySuitability aside, industry representatives remain divided as to what a "harmonized" standard should specify.
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...