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published on Tue, 20 Feb 2018 05:23:20 GMT
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- If Finra eases firm oversight of outside business activities, broker-dealers could lose revenue - InvestmentNews
published on Thu, 15 Feb 2018 22:00:30 GMT
InvestmentNewsIf Finra eases firm oversight of outside business activities, broker-dealers could lose revenueInvestmentNewsMonitoring an unrelated third-party adviser can be a hassle, but it also means broker-dealers can take a cut of their affiliates' RIA revenue, usually about 5%. The Financial Industry Regulatory Authority Inc. board advanced the proposal at its ...
- A new prime institutional partner for broker dealers: We speak to BCS in New York about its B2B listed and OTC multi ... - FinanceFeeds (blog)
published on Sun, 18 Feb 2018 06:45:36 GMT
FinanceFeeds (blog)A new prime institutional partner for broker dealers: We speak to BCS in New York about its B2B listed and OTC multi ...FinanceFeeds (blog)?We have set up a Fixed Income group too, which is a new area and an expanding one within BCS. We have a sales staff focusing on those who have an appetite for emerging market high yield paper? he said. ?We are actually a considerable component within ...
- As LPL buys broker-dealers, its rivals also benefit - InvestmentNews
published on Thu, 08 Feb 2018 16:32:24 GMT
InvestmentNewsAs LPL buys broker-dealers, its rivals also benefitInvestmentNewsThe first wave of advisers came over in December from two of the NPH broker-dealers, National Planning Corp. and Investment Centers of America. Those advisers controlled about $34 billion in client assets. The second and final group of NPH advisers is ...
- Views The tax law's hidden loopholes that await broker-dealers - Employee Benefit Adviser
published on Fri, 16 Feb 2018 04:12:00 GMT
Employee Benefit AdviserViews The tax law's hidden loopholes that await broker-dealersEmployee Benefit AdviserThe Tax Act will undoubtedly result in some arrangements that the Internal Revenue Service will perceive as loopholes, which will be addressed either through regulations or technical corrections. One such loophole relates to broker-dealers, the new ...and more »
- First State Charges Broker-Dealer in Connection with Violations of DOL Fiduciary Rule - Lexology
published on Sun, 18 Feb 2018 21:00:00 GMT
First State Charges Broker-Dealer in Connection with Violations of DOL Fiduciary RuleLexologyThe Broker-Dealer in the Massachusetts case prepared to comply with the DOL Fiduciary Rule by including provisions in its brokerage and investment advisor compliance manuals, which stated that ?the firm does not use or rely on quotas . . . contests ...
- Independent broker-dealers are stepping up their game on recruiting from the wirehouses - InvestmentNews
published on Sat, 27 Jan 2018 11:07:02 GMT
InvestmentNewsIndependent broker-dealers are stepping up their game on recruiting from the wirehousesInvestmentNews"That allows us to capture wirehouse advisers looking for the same touch and feel for themselves and their clients." While IBDs have been stepping up their game, wirehouses are undergoing major shifts that appear to benefit independent broker-dealers ...
- Jackson National Life closes Tampa investment firm office as broker-dealer shifts to a new owner - Tampa Bay Business Journal
published on Wed, 07 Feb 2018 16:47:29 GMT
Tampa Bay Business JournalJackson National Life closes Tampa investment firm office as broker-dealer shifts to a new ownerTampa Bay Business JournalInvest was one of four companies that made up the independent broker-dealer network of National Planning Holdings Inc. LPL Financial (NASDAQ: LPLA), a retail investment advisory firm, acquired National Planning Holdings in August for $325 million, a ...Financial Newsletter - ZacksZacksLpl Financial Holdings Inc. - LPLA - Stock Price Today - ZacksZacksSEC FORM 4 - SEC.govSEC.govall 104 news articles »
- Broker-Dealers Seek Reps In Play - Financial Advisor Magazine
published on Thu, 01 Feb 2018 13:39:36 GMT
Financial Advisor MagazineBroker-Dealers Seek Reps In PlayFinancial Advisor MagazineFirms saw good numbers of recruits coming out of the National Planning Holdings (NPH) B-Ds, as reps at the four NPH dealers evaluated their options following the August 2017 purchase of NPH assets by LPL Financial. That deal-driven movement ignited ...and more »
- Cetera creates 'traditional' and 'specialty' channels for its six B-Ds - InvestmentNews
published on Tue, 13 Feb 2018 21:16:05 GMT
InvestmentNewsCetera creates 'traditional' and 'specialty' channels for its six B-DsInvestmentNewsSummit Brokerage Services will continue to be headed by Marshall Leeds, its CEO. The specialty channel, which encompasses Cetera Advisor Networks, Cetera Financial Institutions and Cetera Financial Specialists, will be led by Tom Taylor. He will ...and more »
- Broker-Dealer Seeks 'Layering' Docs From FINRA For SEC Suit - Law360
published on Sat, 10 Feb 2018 01:08:33 GMT
Broker-Dealer Seeks 'Layering' Docs From FINRA For SEC SuitLaw360But Lek Securities, which sought unsuccessfully to get the suit tossed last year, told Judge Cote in Thursday's letter that there was ?no law, rule or regulatory guidance? during the time of Avalon's alleged misdeeds that spelled out a definition of ...and more »