Broker-dealer Data Center
All 2011-2016 recruitment and staffing data is as of Dec. 31 in the calendar year displayed. Prior year recruitment and staffing data is as of Sept. 30. All financial figures are for firms' year end, unless noted.
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- N/D = Not disclosed
- — = Information not available or not disclosed
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Senior reporter Mark Schoeff Jr. and managing editor Christina Nelson discuss the Labor Department's latest move and what it means for the future of the regulation and the firms preparing for it.
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Latest news & opinion
A good financial adviser — or, better yet, a team of them — would provide a sense of perspective and calm that would hopefully prevent this winner from following in the footsteps of so many past winners who wound up broke in just a few years.
The profession will need to adjust to enormous shifts in the socioeconomic environment in the coming decade.
Over an eight-year period, the B-Ds failed to properly supervise sales charge waivers to clients in retirement plans and charitable organizations.
Meanwhile, few brokerages and their trade associations, which blasted the DOL's fiduciary rule in comment letters, are responding to the CFP Board's proposal.
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