As 2020 came to a close, the issue of how digital asset securities can be custodied by US broker-dealers became clearer, at least from a regulatory standpoint. In a release issued pursuant to the ...

On October 30, 2023, the Securities and Exchange Commission (SEC) issued an order granting broker-dealers exemptive relief from Rule 15c2-11 of the Securities Exchange Act of 1934 for fixed-income ...

Securities America Advisers, the RIA arm of leading independent broker-dealer Securities America Inc., was fined $1.75 million by the Securities and Exchange Commission Wednesday for allegedly failing ...

In the complex landscape of finance and investment, broker-dealers play a pivotal role, acting as intermediaries in the buying and selling of securities. They represent the heartbeat of the financial ...

MIAMI & LOS ANGELES--(BUSINESS WIRE)--Rainmaker Securities, a leader in the secondary market for shares of late-stage private equity issuers, today announced it has expanded RainmakerX, the company’s ...

The Global Banking & Finance Review Awards programme has officially opened nominations for Best Securities Brokerage and Best ...

PLANTATION, Fla., February 12, 2026--(BUSINESS WIRE)--TradeStation Securities, Inc. ("TradeStation"), an award-winning †, self-clearing online brokerage firm for trading stocks, options, futures, and ...

An embattled securities broker urged the U.S. Supreme Court on Thursday to block an enforcement proceeding from the Financial Industry Regulatory Authority while the company challenges the ...

Interactive Brokers (NASDAQ:IBKR) has rolled out its securities lending dashboard designed to help clients parse short-selling activity for certain securities and inform trading decisions, the company ...

GREENWICH, Conn.--(BUSINESS WIRE)-- Interactive Brokers (Nasdaq: IBKR), an automated global electronic broker, announced its appointment as the primary international broker for Sinopac Securities ...

SHANGHAI, April 20 (Reuters) - China's Orient Securities Co said it plans to buy 100% of smaller rival Shanghai Securities using cash and newly issued shares, as Beijing encourages consolidation in ...