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- With margins crashing, broker-dealers look to merge: report - InvestmentNews
published on Thu, 21 Sep 2017 18:27:49 GMT
InvestmentNewsWith margins crashing, broker-dealers look to merge: reportInvestmentNewsIncreased regulation is straining profit margins among broker-dealers, sending many of them into the arms of their bigger brethren.M&A Activity Heats up for Independent Broker-Dealers, According to FidelityBusiness Wire (press release)all 5 news articles »
- Broker-dealers and RIAs at loggerheads over fiduciary rule delay - InvestmentNews
published on Fri, 15 Sep 2017 18:18:28 GMT
InvestmentNewsBroker-dealers and RIAs at loggerheads over fiduciary rule delayInvestmentNewsBroker-dealers in a full-throated roar are supporting the Department of Labor's proposed 18-month delay in putting into place its new fiduciary rule's second phase, according to the latest round of comment letters on the rule. The proposal would push ...Does DOL Rule Justify Bringing Annuities In-House?TG Daily (blog)all 10 news articles »
- The Future of the Independent Broker/Dealer - WealthManagement.com
published on Fri, 15 Sep 2017 18:46:21 GMT
WealthManagement.comThe Future of the Independent Broker/DealerWealthManagement.comMatt Lynch: It's a panel of three different angles, looking at the broker/dealer landscape, what's impacting the business, and the future. We have Morningstar in there and they're the ecosystem, right? They're everywhere providing services to broker ...
- Advisor Group broker-dealer gets new CEO - InvestmentNews
published on Wed, 13 Sep 2017 18:15:03 GMT
InvestmentNewsAdvisor Group broker-dealer gets new CEOInvestmentNewsFSC Securities Corp. said on Wednesday morning that industry veteran Derek Burke was replacing Jerry Murphy as president and CEO of the firm. With about 1,000 financial advisers, FSC is one of the four broker-dealers that constitute the Advisor Group ...and more »
- Florida-based broker-dealers flee Irma, setting up operations out-of-state - InvestmentNews
published on Mon, 11 Sep 2017 18:55:24 GMT
InvestmentNewsFlorida-based broker-dealers flee Irma, setting up operations out-of-stateInvestmentNewsAs Hurricane Irma lashed the sunshine state from its tip to its top over the weekend, business continuity plans for independent broker-dealers based in Florida kicked in, keeping the firms open for business for thousands of financial advisers. Prior to ...
- Do you really want states to take the lead on fiduciary? - InvestmentNews
published on Sat, 23 Sep 2017 10:06:38 GMT
InvestmentNewsDo you really want states to take the lead on fiduciary?InvestmentNewsThe Nevada law places fiduciary responsibilities on broker-dealers and registered investment advisers who previously were excluded from existing state law that referred to "financial planners." Nevada thus joins four other states that impose fiduciary ...
- FINRA Fines Broker-Dealers for Sales of Non-Traditional ETFs - Lexology (registration)
published on Tue, 29 Aug 2017 16:04:57 GMT
FINRA Fines Broker-Dealers for Sales of Non-Traditional ETFsLexology (registration)In August 2017, FINRA entered into a consent agreement with a Georgia-based broker-dealer arising from improper practices and procedures relating to its sales of leveraged ETFs.1 The sales included ETFs that were leveraged, inverse, or both inverse and ...
- American Portfolios Financial Services, Inc. Named 2017 Broker-Dealer of the Year by Investment Advisor Magazine ... - GlobeNewswire (press release)
published on Tue, 05 Sep 2017 19:21:53 GMT
GlobeNewswire (press release)American Portfolios Financial Services, Inc. Named 2017 Broker-Dealer of the Year by Investment Advisor Magazine ...GlobeNewswire (press release)05, 2017 (GLOBE NEWSWIRE) -- American Portfolios Financial Services, Inc. (AP), an independent broker/dealer that serves affiliated financial advisors nationwide, is proud to announce that it has been named Broker/Dealer of the Year in 2017 by ...and more »
- Odd letter highlights fiduciary concerns in Puerto Rico - InvestmentNews
published on Thu, 21 Sep 2017 15:07:05 GMT
InvestmentNewsOdd letter highlights fiduciary concerns in Puerto RicoInvestmentNewsUnlike their mainland counterparts, broker-dealers under regulations in Puerto Rico, a U.S. commonwealth, are fiduciaries. Along with investment advisers, broker-dealers in Puerto Rico "must observe the highest standards of fiduciary duty toward their ...
- New York State Precludes Broker-Dealer Sourcing for Associated Persons of a Registered Broker-Dealer - Lexology (registration)
published on Mon, 11 Sep 2017 11:52:30 GMT
New York State Precludes Broker-Dealer Sourcing for Associated Persons of a Registered Broker-DealerLexology (registration)The New York State Department of Taxation and Finance has issued a Tax Guidance that limits the availability of broker-dealer sourcing under Article 9-A for tax years beginning before 2015 in situations involving partnerships and other flow-through ...