Tag: Broker/Dealer

The new solution puts instant text-based communications at an adviser’s fingertips through a desktop application.

Strong market conditions, increased competition from buyers and favorable deals for sellers laid the foundation for the activity, according to...

In his prepared remarks, Gary Gensler calls the U.S. securities markets the ‘finest in the world,’ while emphasizing the need for ‘clear rules of the road and a...

A former Securities and Exchange Commission litigator who was at the regulator during the transition from the Clinton administration to...

It is designed to help broker/dealers make strategic decisions about their books of business.

Corporate entities, such as the advisory firm suing to halt the Charles Schwab/TD Ameritrade merger on antitrust grounds, must be represented by qualified counsel.

The Commission says the broker/dealer charged clients 12b-1 fees when they qualified for lower-cost shares.

The state’s former securities chief says recently issued fiduciary regulations have been crafted in the interest of aggressively tamping down on conflicts of interest in the financial services...

Who is liable when a brokerage firm staffer knowingly transmits false information at the behest of a superior? A recent Supreme Court ruling offers some answers, while raising...

Many do not know if their adviser is technically a broker/dealer or an adviser, Personal Capital learned in a survey.

The Secretary of the Commonwealth says the FinTech Working Group is the first dedicated team established by a state securities regulator specifically to provide support to, and receive...

During a webcast hosted by ACA Compliance Group, Allison Charley, a former SEC examinations office leader, explained the regulator’s internal process for picking audit targets; other speakers noted...

In a Q&A with PLANADVISER, Mirella deRose draws on her experience leading FINRA enforcement in describing what she sees as the most important elements of the regulator’s recently...

One key M&A trend identified in a new PwC report is the growing prevalence of large asset management and/or private equity entities making minority-stake investments in wealth management...

The death of Vanguard Group founder Jack Bogle offers a chance to reflect on the long-standing debate regarding passive and active management and the role of controlling fees...

Fidelity’s 2019 Wealth Management M&A Transaction Report shows there were 23 RIA deals inked during the year worth $1 billion or more.  

Triad and Resources Investment Advisors say the recruitment of Retirement Benefits Group reflects the way retirement-focused advisers are seeking integrated practice management solutions and hands-on support from brokerage...

The specialist retirement plan and private wealth advisory firm has been acquired by HUB International Limited.

For retirement industry fiduciary advisers, the SEC’s introduction in April of a proposed Regulation Best Interest was one of the seminal moments of 2018; the regulation will likely...