Over-the-counter (OTC) platform Wintermute Trading has urged US regulators to exempt dealers from existing rules when settling tokenized ...

More than ever, broker-dealers rely on their technology infrastructure to power the services their advisors and clients demand, as well as deliver the efficiencies the firm requires. But broker-dealer ...

Los Angeles, USA, July 14th, 2025, Chainwire: will position Streamex as one of the first NASDAQ-listed SEC and FINRA compliant issuers of RWA tokens in the US. BioSig Technologies, Inc. (NASDAQ: BSGM) ...

On July 8, the staffs of the Division of Trading and Markets (TM) of the US Securities and Exchange Commission and of the Office of General Counsel of the Financial Industry Regulatory Authority, Inc.

Broker-dealers play an important role in the stock trading system. They provide investors and traders a point of entry into the financial markets. As an investor, you need to do business with ...

Transcripts are generated using a combination of speech recognition software and human transcribers, and may contain errors. Please check the corresponding audio for the authoritative record. Kyle ...

As markets swooned and interest rates surged in 2022, at least one industry was likely quietly rejoicing: Broker-dealers, which have been facing combative regulators and fighting trench warfare with ...

Most large broker-dealers hope to lure advisors into their ranks (or hold onto them) by boasting about their size. They warn reps that there are perils to going to a small B-D—that smaller firms lack ...

As 2020 came to a close, the issue of how digital asset securities can be custodied by US broker-dealers became clearer, at least from a regulatory standpoint. In a release issued pursuant to the ...