(Reuters) -Dutch online bank Bunq said on Monday that it had received a licence to operate as a broker-dealer in the United States, part of a drive to expand outside of Europe. Being a broker-dealer ...

Crowdfund Insider is the leading news website covering the emerging global industry of disruptive finance including ...

The Dutch neobank had applied for a banking license in 2023 but withdrew that bid over a “difference of views” among the OCC, ...

Prospera Financial Services, a Dallas-based broker-dealer, said yesterday it had recently lured to its platform a duo of veteran financial advisors from B. Riley Wealth Management in Irvine, Calif., ...

The Financial Industry Regulatory Authority is probing broker-dealer firms involved in taking small foreign companies public, the latest effort by a regulator to crack down on pump-and-dump schemes.

FSI asks SEC Chair Paul Atkins to formalize rules against "shoot first" enforcement tactics they claim intensified under Gary ...

XBase Virtual Assets Broker and Dealer Services, has been granted In-Principal Approval (IPA) from the Dubai Virtual Assets Regulatory Authority (VARA) for a Broker-Dealer Services Licence. The IPA is ...

Choosing the right digital asset broker is not about finding the "best" one, but about finding the right one for you. Each investor or trader has different ...

Earnings seasons for the wealth management industry for the third quarter are about to kick off. Publicly-traded companies could get a boost in share prices after the Federal Reserve eased interest ...

Broker-dealer advocates are calling for an amendment to a 2001 Financial Industry Regulatory Authority (FINRA) rule, arguing that the current regulation fails to reflect the characteristics and ...

Explore how smart money management and focusing on real market conditions can boost stock profits amid the AI trade.

When you’re choosing a financial advisor, it’s tempting to compare just one thing - fees. After all, that number is often ...