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

Dutch digital bank Bunq has secured a U.S. broker-dealer licence, reviving its ambitions to enter the American market after ...

Europe’s second-largest neobank, has been approved by FINRA to operate as a US broker-dealer – a move driven by users who live, work and invest across both Europe and the US. The approval marks bunq’s ...

(MENAFN- Massive Media ME) XBase Virtual Assets Broker & Dealer Services (XBase), a subsidiary of XBD Group, today announced that it has received In-Principle Approval (IPA) from the Dubai Virtual ...

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 ...

For many financial advisors, dissatisfaction with a current broker-dealer eventually raises the question: is it time to make a move? The recent trend of broker-dealer consolidation through mergers and ...

London-based GSR, one of crypto’s largest market makers, has agreed to acquire Equilibrium Capital Services, a FINRA-registered broker-dealer shell company based in Portland, Oregon. The market maker ...

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 ...

The proposed rule changes potentially affecting SEC guidelines on broker-dealers, custody and reporting could allow crypto companies to operate in the US with less oversight. US Securities and ...

On August 11, 2025, the U.S. Securities and Exchange Commission (SEC) brought two settled administrative proceedings against a broker-dealer and one of its registered representatives for violations of ...

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