The FSC defines core securities dealers as firms whose primary activity is dealing in financial securities. 26 out of the 33 securities dealers licensed by the FSC were classified as core securities ...

For broker dealers who were dreading the full implementation of the Fixed Income Quotation rule, SEC rule 15c2-11, staff once ...

In an opinion post for a16z crypto, Latham lawyer Jenny Cieplak calls for a new regulatory approach for tokenized securities.

Apex Clearing, a subsidiary of Apex Fintech Solutions, stood accused of misleading investors into believing they would ...

Coinbase Inc. was denied judgment on pleadings in an investor suit that alleges the major cryptocurrency platform is an ...

TZROP was issued in a private placement in August 2018 and in January 2019, it illustrated how a private security can trade on the tZERO Securities ATS, a broker-dealer operated, continuous and ...

iShares US Broker-Dealers & Securities Exchanges ETF's (IAI) current share price is $156.24. This constitutes a price movement of 0.51% when compared to the share price 7 days ago and is -1.15% below ...

A broker who is already challenging the Financial Industry Regulatory Authority Inc.’s order last year to bar him from the ...

"In order to facilitate Sebi-registered stock brokers to participate in Government Securities (G-Secs) market in the NDS-OM, it has been decided that they may do so under a Separate Business Unit (SBU ...

Reinsurance broker Gallagher Re has announced that insurance-linked securities (ILS) veteran Jason Bolding has been promoted ...

NEW YORK, February 03, 2025--(BUSINESS WIRE)--SMBC Nikko Securities America, Inc. (SMBC Nikko America), a registered ...

ZERO Group Inc., a tech solutions provider for capital markets, announces its Series-A Preferred Equity Security (TZROP) will ...