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 ...

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 ...

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.

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, ...

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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 ...

Molly Grace is a staff money writer at Buy Side covering banking, home equity, investing, mortgages, retirement savings, taxes and budgeting. Staff Personal Finance Editor, Buy Side Valerie Morris is ...

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 ...

Kapital is stepping in to acquire fully vetted assets from Intercam, following a rigorous process of analyzing and identifying non-toxic assets by K2 Integrity, a premier financial risk and forensic ...

NEW YORK, Aug. 8, 2025 /PRNewswire/ -- The Easterly ROCMuni High Income Municipal Bond Fund (RMHIX) has recently lost about half its value, with its share price falling to roughly $2.95. It is a small ...