Risk alert. | Copyright Chip Somodevilla, Getty Images
The Securities and Exchange Commission is warning broker/dealers that their guardrails around selling so-called structured notes are, almost without exception, weak. The commission iss...
In the past, REP. has ranked independent broker/dealers by advisor headcount. While that metric can shed light on the size, scale and recruiting prowess of a firm, the business is no longer simply about the numbers. Instead, the editors—with...
