Discover how inter-dealer brokers facilitate large financial transactions, improve market liquidity, and offer anonymity in OTC markets, benefiting financial institutions.

FSI officials doubt its efforts will stop the Department of Labor from imposing stringent standards that would discourage many broker-dealers from handling small IRAs. At its annual meeting in San ...

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 ...

An annual PCAOB report details an increase in the percentage of broker-dealer financial reports with audit deficiencies and offers perspective on the nature of the deficiencies and advice for avoiding ...

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

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

The industry group says current rules are outdated and overly broad, urging reforms to better reflect modern communication ...

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.

A former Wachovia Securities broker who stole $7 million of client money and then used some of it to build himself a home and buy new cars has been sentenced to 6½ years in prison. Brokerage firms may ...