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 ...

An annual PCAOB report details an increase in the percentage of broker-dealer financial reports with audit deficiencies and offers perspective on the nature of the deficiencies and advice for avoiding ...

Being an independent financial advisor gives you the freedom to design your business, but it also requires finding the right support to manage associated challenges. Choosing a broker-dealer that ...

Rule amendments finalized this week will require broker/dealers to share more information on the quality of stock order executions and produce a summary report. The Securities and Exchange Commission ...

Simplifying and better integrating compliance tasks, improving customer relationship management and developing more-robust portfolio management tools are the top technology concerns among financial ...

The Insured Retirement Institute has publicly opposed the New Jersey Department of Labor and Workforce Development’s proposed redefinition of “independent contractors,” stating that the guidelines ...

LPL has taken a minority stake in the $40 billion RIA and OSJ Private Advisor Group, continuing a string of moves from broker ...

Alex Hansen joins Merit as chief advisor success officer from Commonwealth, and Brian Brashaw will head its 401(k) practice after leaving Osaic.

Morgan Stanley has agreed to pay a $1 million fine to settle Finra charges that it failed to supervise a commission-sharing program for retired brokers. A former LPL Financial executive has started a ...