Broker dealers

Gurinder Ahluwalia, CEO of 280 CapMarkets, outlines new bond-trading infrastructure for wealth management, along with his argument for why fears of PE capital are unfounded.

As the fee-based financial planning network adds more members and rolls out new services, some members raised questions about its ongoing business strategy.

The SEC published more than 1,300 pages of regulatory information. Here's what advisors need to know.

Due to a 2010 FINRA rule change the answer is — with difficulty.

IFS has notified regulators about the alleged illegal trades, which sources say cost the firm more than $10 million.

Reports of the death of fiduciary differentiation have been greatly exaggerated, contends fiduciary advocate Knut Rostad.

Though designed to raise standards for broker-dealers, the SEC’s 564-page rule sent ripples throughout the advisory industry.

The SEC’s 564-page rule shows the new disclosure could prove time-consuming, even vexing, for firms.

Simple solutions may be a better alternative to customization, says the company's CEO.

The decision comes a decade after the collapse of the infamous scheme.

Under a FINRA proposal, firms with histories of misconduct would be required to set aside funds for anticipated arbitration awards.

An advisor was terminated after accepting money from a brother, who was also a client. Is such a loan allowed?

The fintech company, which was forced to rebrand its cash management product last year after misleading marketing caused a backlash, is seeking a national bank charter.

The requirement is back in the spotlight as consumer advocates and business interests face off on proposal to outlaw this key provision of customer agreements.

Having ‘fessed up to improper 12b-1 fee disclosures, dually registered advisors might still be excluded by FINRA.

Advisors and trade groups resist a patchwork of regulations, saying it would limit consumer choice and increase firms’ expenses.

It may seem like your interests are aligned but there could be conflicts.

Even as Nevada, Maryland and New Jersey press ahead with their own proposals, the IAA seeks exemption for SEC-registered advisors.

Digital tools will not only allow advisors to serve more clients, they can help advisors charge for services with greater accuracy.

There are no “alternative facts” in the law, just truth, opinion and lies. Two you can’t sue for. And the third? Well, brokerages are very careful with their words.