Independent broker-dealer leaders suddenly find themselves playing defense on a key issue: the DOL’s pending fiduciary rule that would impact financial advisors who handle retirement plans and IRAs.

The convergence of wealth and retirement at the workplace and the explosion of small 401(k) plans are colliding to create a powerful wave that savvy broker/dealers are riding. Not only are more wealth ...

Yet another insurance company has decided to ditch the independent-contractor broker-dealer business, citing as a factor pressures from regulators when a firm sells proprietary products. Steven ...

In the future, will people have relationships with their financial advisors or with the advisors’ broker-dealers, custodians and other affiliated businesses? It’s an uncomfortable question. Clients ...

Fund sponsors often engage investment banking or placement firms to help raise capital or generate deal flow for their funds. In exchange, the sponsor may offer a cash fee, a piece of the sponsor’s ...

VVV Research and Development Inc. conducted a national survey on behalf of broker-dealer Cambridge Investment Research Inc. In the survey, 648 representatives were surveyed about their experience with ...