Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Advisor Group's New Name Gets Mixed Reviews
By Jeff BermanSome say Osaic sounds modern and fresh, while others liken it to the name of a drug.
June 21, 2023
Advisor Group Has a New NameThe company will unite its eight firms into one entity over the next 18-24 months.
June 20, 2023
Emojis Could Prompt a Customer Complaint, FINRA Exec WarnsWhile FINRA isn't planning emoji-related enforcement, its exam chief urges BDs to consider "novel issues" in texting.
June 16, 2023
FINRA Exams Are Changing, Execs SayFINRA is conducting more on-site exams, but examiners will spend less time on-site.
June 16, 2023
Schwab Robo-Advisor Hidden Fees Case Moves to Federal CourtThe lawsuit cites an SEC order last year requiring Schwab to pay nearly $187 million for misleading statements.
June 16, 2023
Ex-LPL Broker Fined, Suspended for Not Disclosing Child Sex Abuse ChargeFINRA suspended the ex-broker for five months and fined him $5,000.
June 14, 2023
Apex Joins Growing List of Overnight Trading Service ProvidersSeveral top clients are already using Apex to access the 24/5 marketplace, the firm said.
June 13, 2023
SEC to Weigh New AI Rules for BrokeragesA plan to rein in conflicts of interest associated with the use of artificial intelligence could be introduced as soon as October.