Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
SEC Updates FAQ on Form CRS
By Melanie WaddellThe agency answers questions related to private placements, principal underwriters and dually registered BDs.
December 13, 2023
Would New DOL Fiduciary Rule Curtail Advice Access? No Way, Consumer Groups TestifyAt a DOL hearing, the Consumer Federation of America called this industry argument "a scare tactic."
December 12, 2023
Why Some Financial Firms Are Wary of AICompanies face hurdles in using generative artificial intelligence, according to a recent EY survey.
December 11, 2023
FINRA Releases Reg BI NoticeThe notice points broker-dealers to various SEC resources to help them comply with the best-interest rules.
December 08, 2023
FINRA Tried to Ban Firm for 60,000% Fee Hike. It's Fighting Back.Alpine and three other firms are challenging FINRA's power in court; the Supreme Court may rule on the matter next year.
December 07, 2023
Treasury Rally on Fed Bets Is Just Getting Started: BofAThe bank forecasts the benchmark yield to end next year at 4.25%, not too far off current levels.
December 07, 2023
Best & Worst Broker-Dealers: Q3 Earnings, 2023The latest earnings included a big loss for one firm, declines for four and stronger results for six.
December 06, 2023
Dimon Would Shut Down Crypto If He Had Government Role"If I was the government, I'd close it down," the JPMorgan Chase CEO said at a Senate hearing Wednesday.