Rising rates should bring a vital cushion to the balance sheets of independent broker-dealers.
For the second time since the credit crisis, noted private equity investor Donald Marron is making a hard charge to acquire the large IBD.
Financial Services Institute supports legislation to replace Labor Department's rule, and is not ruling out a lawsuit if it is finalized.
Coming 12 to 24 months could divide the industry into winners and losers — firms that will be able to adapt, and those that might fall by the wayside. </br><b><i>(More: <a href="//www.investmentnews.com/section/specialreport/20160124/IBD012016"" target=""_blank"" rel="noopener noreferrer">Top Independent Broker-Dealers 2016 special report</a>)</b></i>
Make sure the most fundamental protections your clients require are in place
Mistakes made on this form are low-hanging fruit for the SEC and state regulators.
Plan advisers might not fully understand the rules regarding ESG investments
We all have a legacy, whether planned or unplanned. Active planning allows us to pass on a financial legacy.
Turnaround in sentiment comes amid signs central banks may be prepared to act
Bond shop betting on an oil-price recovery.
Will putting iconic fund firm in the crosshairs turn fiduciaries' attention toward overall value and away from fees?
The agency issued guidance to directors saying they should install a process to evaluate whether administrative fees are being used to encourage distribution.
Despite SEC chairwoman's concerns over leverage and impact on individual investors, backers hope legislation will pass because of bipartisan support.
Traditional fixed-income holdings, such as bond funds, may not provide enough meaningful income as historically low interest rates have limited the yields available to investors.
Leaked files from a Panama law firm that creates shell companies show that politicians, criminals and celebrities worldwide have used banks and shadow companies to hide their finances, according to a new report.
After taking another five months to bottom out, stocks could take two years to regain their previous highs, according to one expert.
Deal brings two firms together to serve northern Colorado and 25 other states.
Periscope offers a way for advisers to Tweet with video rather than just words and photos.
Deutsche Bank agreed to sell its U.S. private-client services unit to Raymond James Financial Inc. in a deal that involves 200 advisers and 400 support staff for the IBD.
