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

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 PCAOB issued its annual report Thursday on its audits of brokers and dealers and is seeing at least one deficiency in 70% of the 103 audit engagements it reviewed in 2023. "Overall, in 2023 we ...

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.

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

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 an independent financial advisor gives you the freedom to design your business, but it also requires finding the right support to manage associated challenges. Choosing a broker-dealer that ...

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 ...

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 ...

With the Dow Jones Industrial Average shooting up 3.5 percent Wednesday in the wake of former President Donald J. Trump’s election once again to the White House, publicly traded broker-dealers and ...