Browsing Tag
Broker-Dealers
15 posts
How Asset Managers Can Get ‘Dabblers’ to Pursue More DC Business: Cerulli
Cerulli Edge report says asset managers should position themselves as strategic partners for broker/dealer-based advisors seeking to bridge their retirement plan and wealth businesses
FINRA Shuts Down B-D for Reg BI Breaches, Additional Violations
Owner and CEO suspended for a year as Melville, N.Y.-based firm made misrepresentations to customers and violated FINRA’s suitability and supervision rules
SEC Publishes Final Guidance on Reg BI
The latest bulletin comes after Rep. Byron Donalds accused the SEC of considering to rewrite the Reg BI in a new letter
SEC Risk Alert Identifies Reg BI Compliance Issues
The SEC issued a risk alert over compliance problems it observed with broker-dealers and investment advisors who follow Reg BI
Northern Trust Asset Management Taps 16 Firms to Minority Brokerage Program
The additions to the Minority Brokerage Program are an increase from 11 firms in 2019
Winning Scores Decline, But Top Broker-Dealers Hold Spots in Advisor Satisfaction Survey
Wealth management firms need advisors as brand evangelists to attract new talent, J.D. Power’s latest U.S. Financial Advisor Satisfaction Study finds
Top 3 Areas of RIA Service Expansion: Cerulli
'To preserve profitability levels as they add services, advisors can either adjust their fees upward or implement alternative pricing structures'
Broker-Dealer Consolidation Craziness Continues
Competition for advisor talent remains high as affiliation options abound
Unreported Cyberattacks on Retirement Accounts Lead to $1.5M SEC Fine for B-D
The Securities and Exchange Commission (SEC) on Wednesday announced settled charges against GWFS Equities Inc. (GWFS), a Colorado-based…
ESG Matters Listed Among SEC’s 2021 Exam Priorities
The SEC is out with its 2021 Examination Priorities, and while they are in large part similar to…