Wirehouse Firms
Learn the ins and outs of the wirehouse channel, including news, analysis and more on Bank of America-Merrill, Morgan Stanley, Wells Fargo and UBS.
FINRA Plans Fee Hikes for 2022 and Beyond
By Janet LevauxThe fee increases will be phased in over several years, the regulator says.
June 29, 2020
U.S. Advisors Expect 7% Asset Growth Over Next 12 Months: SurveyAnd it's not likely coming from market returns. Here's how advisors plan to boost growth this year, according to Natixis.
June 29, 2020
SEC Releases Updated FAQ on Form CRSThe FAQ provides updates on questions related to broker-dealers as well as dual registrants.
June 29, 2020
XYPN Mulls Supreme Court Challenge to SEC Reg BIThis is one of two possible moves XYPN is considering after an appeals court upheld the rule, Michael Kitces said Monday.
June 26, 2020
SEC Prevails Over XYPN in Reg BI Suit"We are incredibly disappointed that the courts have ... allowed Regulation Best Interest to stand," said Michael Kitces of XY Planning Network.
June 25, 2020
IBDs & Wirehouses Roll Out New Programs, TechInnovation continues throughout the industry at this challenging time.
June 24, 2020
FINRA Moves Ahead on Brokers-as-Beneficiaries RuleRegulatory group also is looking to build a standard to govern brokers acting as trustees or executors and being given power of attorney.
June 23, 2020
SEC Preps LIBOR Transition ExamsSEC registered advisers that specialize in fixed-income tied to LIBOR should expect an exam in 2020.