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.

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

The rule of thumb for bank robbers is they rob banks because that’s where the money is. The rule of thumb for "bad brokers," ...

A California-based credit union serving members of the tech industry has sued a group of ex-advisors in Idaho who it says breached their contracts when they took some $200 million in client assets to ...

NEW YORK, NY, UNITED STATES, October 9, 2025 /EINPresswire.com/ -- Patrina Corporation, a New York–based provider of compliance archiving solutions, announced the ...

As crypto collides with traditional finance, the trading firm is moving to secure a bigger role in capital formation in the United States.

The independent broker-dealer channel has emerged as a leading force in the US wealth management industry, outpacing other channels in advisor-managed asset growth and reshaping the competitive ...

The Securities and Exchange Commission (SEC) has adopted amendments to its customer protection rule, Rule 15c3-3. The amendments require certain broker-dealers to change the frequency of their net ...

The Public Company Accounting Oversight Board released a new staff publication aimed at auditors of broker-dealers who are performing review engagements involving exemption reports. The publication, ...

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Welcome to "Show Me Your Stack," a series from Financial Planning in which we interview those who deliver financial advice to learn what tools they rely on to make it happen. Rising client ...

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 ...