Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
FINRA's New 'Restricted Firm' Plan Is on Its Way
By Melanie WaddellRecruiter Jon Henschen discussed what the rule, expected to become effective within seven months, means for BDs and reps.
September 07, 2021
Top 20 Colleges Whose Business Grads Earn Highest SalariesThe study of business offers one of the widest salary ranges of any major, PayScale reports.
September 07, 2021
3 Ways Advisors Can Better Serve Female InvestorsFocus on a segment of the market and tailor your approach, Cerulli suggests.
September 07, 2021
How Investors in Different Jobs Choose Their Financial AdvisorsWorkers in different occupations prioritize different traits in advisors, Spectrem found.
September 03, 2021
FINRA Bars Ex-Merrill Rep Who Received COVID Disaster LoanThe ex-broker was terminated by Merrill after he refused to produce documents it requested while investigating whether he improperly applied for an EIDL.
September 03, 2021
Schwab's 'Aggressive' Hiring Plan Includes 450 Jobs in AustinThe new hires will join the firm's 2,750 employees now based there, Schwab says.
September 03, 2021
Advisor to Pay $841K for Charging Hidden Fees to Pro AthletesDouglas E. Elstun charged higher fees than clients had agreed to and invested in high-risk ETFs, the SEC says.
September 02, 2021
FINRA Names Vanguard CEO, Commonwealth Lawyer as New GovernorsVanguard CEO Tim Buckley will fill the FINRA board's investment company affiliate seat.