Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
SEC Hits 16 Firms With $81M in Texting Fines
By Melanie WaddellThe firms agreed to pay the SEC combined civil penalties of more than $81 million.
February 05, 2024
T+1 Starts in May. Are You Ready?Under the new settlement cycle, most securities transactions will settle on the business day following their transaction date.
February 02, 2024
LPL Advisors Add $100B in New Assets in 2023Recruited assets for the year totaled $80 billion.
January 29, 2024
Raymond James Revamps Independence Plus PlatformIt has expanded services for transitioning advisors, who can now pick and choose more options for how they set up, run and grow their firms.
January 26, 2024
JPMorgan Shuffles Top Managers as Jamie Dimon Prepares SuccessorsThe shuffle, halfway through Dimon's five-year retention package, affects Marianne Lake, Jenn Piepszak and Troy Rohrbaugh.
January 24, 2024
New FINRA Home Office Rules Take Effect in JuneFINRA also set a launch date for a three-year pilot program for remote inspections.
January 23, 2024
BD Crypto Communications Not Up to Snuff: FINRAA report found that 70% of retail communications potentially violate a rule on fair and balanced interactions.
January 22, 2024
FINRA Suspends Broker Over Reg BI ViolationsThe broker engaged in quantitatively unsuitable trading in the accounts of eight clients, three of whom were seniors.