Broker dealers

Robinhood Markets agreed to buy the artificial intelligence research platform Pluto Capital to bring more tailored investment strategies and analysis to the retail brokerage's users.

The research-driven program recognizes brokerages with superior company practices, programs and benefits.

More than a third of financial advisors will retire in the next decade in a profession in which nearly 3 out of 4 rookies fail to make the grade, creating a headcount problem for the industry.

The regulator's Consolidated Audit Trail database, intended to collect trading data, is in legal crosshairs again over privacy issues.

Financial Planning announces its 2024 class of the top 40 most productive employee brokers under age 40 at regional firms.

Financial Planning announces its 2024 class of the top 40 most productive employee wealth management brokers under age 40.

From top brokers and broker pay to succession planning, advising for Medicare, ChatGPT and our coverage of the independent space, these are the biggest stories FP published in the last year.

Peruse the lists that put wealth management in perspective, from our top 40 young brokers to the largest IBDs and RIAs in the country.

The new rules may slow the deletion of valuable public records, but FINRA should take the issue out of arbitration altogether.

The firm told the SEC years ago about employees' ability to improperly access certain information, though it had no evidence anyone had done so.