Browsing Tag
401(k) Broker-Dealer
10 posts
A 401(k) broker-dealer is a regulated financial firm that facilitates buying and selling of investments within a 401(k) retirement plan. They provide access to investment products, execute trades, ensure compliance with financial regulations, and may offer guidance or platforms for plan sponsors and participants.
TAG Advisors Launches ‘Private Label’ PEP
TAG Advisors, one of the largest and fastest growing branches within Cambridge Investment Research, Inc. with more than…
Coronavirus Leads FINRA to Push Business Continuity Plan Prep
Coronavirus seems to be impacting everything, which is why broker-dealer industry self-regulator FINRA is encouraging member firms to…
Fixed Indexed Annuities: Record Sales in 2019, Again in 2020?
Fixed indexed annuity sales hit a record in 2019 and may set new highs in 2020, according to recent figures.
RIAs Top-of-Mind in SEC’s Just-Released 2020 Exam Priorities
The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) today announced its 2020 examination priorities,…
Advisor Group to Buy Ladenburg IBDs in $1.3B Deal
Advisor Group acquisition Ladenburg creates the second-largest independent broker-dealer with vast scale and advisor support.
Consumers Trust ‘Advisors’ More than ‘Brokers’
Financial advisor titles shape trust, with planners and advisors seen as more credible than brokers or insurance agents.
Generational Crisis in Financial Advisors: A Major Concern
Advisors are old and it’s a problem. So much so that J.D. Power claims it’s a full-blown “generational…
N.J. Proposes ‘Tougher than Reg BI’ Fiduciary Standard
Proposed New Jersey rule would establish a uniform fiduciary standard requiring broker-dealers and investment advisors to put investors' interests first.
Hybrids Are Happening: What’s New with Wirehouse to RIA Advisor Exodus?
All or nothing; can’t be half-pregnant—the clichés don’t appear to hold for the RIA space, and the hybrid…
Broker-Dealers Under Fire from Variety of Sources
We all know it, Cerulli solidifies it. The latest report from the Boston-based research and consulting firm names…