Broker-Dealers

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  1. Articles

    Institute for Fiduciary Standard draws SIFMA fire for best practices plan

    Group's 11-point guide seeks to get advisers on the same page without waiting for government rules.

  2. Articles

    NAPFA compensation committee member says AUM fees for cash raise conflicts

    Advisers cutting fees for managing low-yielding cash positions has become popular but critics, including a NAPFA compensation committee member, say the practice presents big conflicts of interest.

  1. Articles

    SEC audit of Girard Securities focusing on supervision of branch offices

    Girard Secuirities is being audited by the SEC, which is focusing on the firm's supervision of branch offices. CEO suggests move is part of larger investigation.

  2. Articles

    A fiduciary standard creates internal conflicts for advisers

    The fiduciary motivation to avoid losses tends to be greater for advisers than the risk of not growing client wealth

  3. Articles

    FSI to zero in on state advocacy this year

    Group set to launch lobbying days in Florida, Texas, New York and California.

  4. Articles

    Wealthfront, Edelman clash on robo-advisers

    The old guard of wealth management clashed with the new as Ric Edelman delivered a bleak assessment of his peers' future during a spirited debate with Adam Nash, the top executive at Wealthfront.

  5. Articles

    Cetera president blasts White House memo defending DOL fiduciary

    Arguments continue on both sides about the merits of the recently-leaked White House memo and what it means for the standard's future prospects.

  6. Articles

    Schwab adds 18 more funds to its commission-free ETF platform

    Schwab's fund platform is expanding to 198 the number of ETFs that trade without commissions.

  7. Articles

    Client demand for simpler technology challenges independent broker-dealers

    An increasingly tech-savvy investor base is challenging independent broker-dealers to meet the demand for simple technology in a way that fits into the complexities of advisers' businesses and keeps investors' personal information protected. “The benchmark is being set, whether we like it or not,”

  8. Articles

    What's next in adviser technology?

    Broker-dealer and custodian tech executives discuss the industry's biggest issues and plans

  9. Articles

    Another key executive departs LPL

    Brain drain at nation's largest IBD continues as top East Coast recruiter plans to take a new position at an insurance company-owned broker-dealer.

  10. Articles

    RBC, City National deal marries bank and brokerage

    The $5.4 billion deal could have RBC's regional wealth management business looking more like a wirehouse or private bank than a regional firm.

  11. Articles

    Regulators bare their teeth on excessive fees

    Moves this week by Finra and the SEC signal watchdogs are ready to pounce on anyone overcharging clients.

  12. Articles

    Brokers under White House scrutiny for costing workers billions in retirement savings

    New government research says some broker practices are costing investors $8 billion to $17 billion a year, and the White House may now support tighter oversight of brokers who handle retirement accounts.

  13. Articles

    Adviser pool continues to drain, losing 2% in 2013

    According to new data, adviser headcount fell by 1.9% in 2013, as about 5,500 advisers left the industry and were not replaced.