Displaying 54 results
8 predictions for IBDs in 2020
This year, independent broker-dealers will be watching such trends as merger madness, competitive recruiting costs and the arrival of Reg BI
FSI denounces ‘regulation by enforcement’ despite strong rebuke from SEC’s Jackson
Group says Reg BI enforcement probably won’t draw same criticism as share-class crackdown
A new playbook for independent broker-dealer M&A
Everyone is up for sale at the right price – and private equity is buying
Finra probes brokerage bank sweep accounts as commissions dwindle
Expert: Interest rate discussions with clients ‘can be problematic’
LPL integrates Envestnet MoneyGuide with ClientWorks
The firm is hoping to make it easier for brokers to embrace financial planning
Goldman taps former Fidelity exec to grow lending service for RIAs
Anthony Rochte will take over as head of GS Select
3 questions independent broker-dealers should ask private equity product sponsors
While private equity could become a positive force in the retail alternatives space, not all sponsors are created equal.
2017 to be year of independent broker-dealer mergers
A looming fiduciary rule, combined with regulations limiting product sales, have experts predicting more consolidation is inevitable
Shares of independent broker-dealers, wirehouses get boost from Trump victory
President-elect's soft stance on regulation seen as a plus for LPL, Raymond James, Bank of America Merrill Lynch, Morgan Stanley and others.
Independent broker-dealers boost tech spending
In a survey fielded late this summer, InvestmentNews found that the typical independent broker-dealer spent $13.6 million on…
Why independent broker-dealers are in survival mode
InvestmentNews senior columnist Bruce Kelly talks about the challenges facing indie B-Ds and what many firms are doing to survive.
How independent broker-dealers are utilizing technology today
A snapshot of the technological spending and usage in the IBD channel
Independent broker-dealers take aim at the next generation of clients
Millennials, robo-advice and female clients top the IBD agenda.
Finra accuses indie B-D of falling down on anti-money laundering supervision requirements
Aegis Capital is accused of facilitating an alleged penny stock scheme that generated $24.5 million in profits for clients and $1.1 million in commissions for the firm.
