Tag: Broker/Dealers

SEC Chair Gary Gensler says the emergence of new investment technologies that embrace gamification and collect user data raises questions as to whether investors are appropriately protected.

Between March and May, there were only 10 RIA transactions and two IBD deals, according to Fidelity.

Why two advisory practices decided to sell and become part of a larger benefits broker and a wealth management company.

Advocacy and lobbying organizations representing the interests of brokers/dealers and investment advisers operating in New Jersey continue to voice their disapproval of the proposed regulations.

“Because funds bear the cost of shareholder report delivery, intermediaries have little incentive to negotiate lower delivery rates with the fulfillment vendor or otherwise control costs,” the Investment...

They see the differences between wirehouses, broker/dealers and registered investment advisers blurring.

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

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

Responding to a request for information from the DOL, most industry groups said they believe no further regulation is necessary to govern use of brokerage windows in retirement...

Three 401(k) Advisors consultants—Austin Gwilliam, Jason Jeskey and Kyle Posvistak—have joined Global Retirement Partners (GRP).

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.

In a move expected to create one of the largest broker/dealer networks in existence, RCS Capital Corporation (RCAP) is set to acquire Cetera Financial Group for $1.15 billion.

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...

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.

The 401(k) market’s annual growth rate is holding at 9% and could push total assets beyond $4.2 trillion next year, a report from Ignites Retirement Research shows.

Mutual of Omaha’s retirement plans division has added LPL Financial’s retirement advice and education solutions to its 401(k) products.

Vanguard announced intentions to streamline its investment offerings by merging five funds that have similar objectives and investment strategies.