Tag: Broker/Dealers

GRP Offers Accommodation B/D Services

To ensure regulations compliance and proper treatment of broker/dealer income, Global Retirement Partners (GRP) will offer access to accommodation broker/dealer services.

Pershing Unveils Retirement Plan Network

Pershing rolled out the Retirement Plan Network, which aims to help broker/dealers, investment advisers and registered investment advisers (RIAs) expand their retirement business.

LPL Upgrades Reporting Platform

The latest release of the Portfolio Manager investment platform and reporting system from LPL Financial features customizable firm branding capabilities and time-saving scheduling options.

Stifel, Nicolaus Consents to FINRA Fines

The Financial Industry Regulatory Authority (FINRA) has ordered Stifel, Nicolaus & Company, Incorporated and Century Securities Associates, Inc. to pay fines and restitution to customers in connection with sales of leveraged and inverse exchange-traded funds (ETFs).

SEC Issues Call to Expand Oversight

The Securities and Exchange Commission (SEC) released twin recommendations advising Congress to align adviser and broker/dealer fiduciary standards and exact “user fees” from SEC-registered advisers.