The move to the independent broker-dealer channel is a popular choice for advisors seeking greater freedom and expanded product offerings. However, not all independent firms are structured the same, ...
Dinari is first tokenized equity platform to get US approval Coinbase, Kraken also exploring blockchain-based stocks Proponents say tokenized stocks could reduce trading costs June 26 (Reuters) - ...
The PCAOB and SEC issued guidance on the registration of auditors of nonpublic broker-dealers. Until recently, auditors of nonpublic broker-dealers were not required to register with the PCAOB as a ...
A broad array of financial market participants—mutual funds, private funds, insurers, pension funds, family offices, individuals, and more—may be at risk after the Securities and Exchange Commission ...
Welcome to SEC Roundup, a bimonthly video series by former Securities and Exchange Commission senior trial counsels Nick Morgan and Tom Zaccaro, founders of the nonprofit advocacy group Investor ...
Prime brokerage Hidden Road, which was recently acquired by Ripple for $1.25 billion, has secured a broker-dealer license from the Financial Industry Regulatory Authority (FINRA) — a move that ...
Some results have been hidden because they may be inaccessible to you
Show inaccessible results
Feedback