The MSRB has said it is amending a pending rule change that would greatly shorten the reporting time standard for municipal ...

Key Takeaways - FINRA’s 2025 Annual Regulatory Oversight Report 2025-annual-regulatory-oversight-report.pdf included a focus on issues ...

Regulatory authorities continue to advance initiatives to improve the efficiency and sophistication of global securities ...

In trading on Friday, shares of the iShares U.S. Broker-Dealers & Securities Exchanges ETF (Symbol: IAI) entered into oversold territory, changing hands as low as $140.94 per share. We define ...

Leveraging its newly acquired broker-dealer, Plural's regulatory stack enables compliant investment in security tokens backed by clean energy infrastructure. Plural's regulatory stack enables ...

An expanded group of debt securities is permitted to trade on NYSE Bonds; broker-dealers also can publish OTC quotations for the securities As a follow-up to our prior discussion in this area ...

The regulatory organization says it wants to focus on outside activities that could potentially impact customers.

This initiative underscores the company’s commitment to providing scalable and modular solutions that cater to the infrastructure needs of broker-dealers. With revenue of $2.2 billion in the ...

Rob Pettman joins the Big Picture in Practice hosts to talk about the evolution of the broker-dealer landscape ... on each of the top contenders: Regulation, consolidation, and evolving advisor ...

The poll, conducted by managing general agent Corin Underwriting across 147 brokers, also found 67% of brokers indicating they would be more inclined to work with MGAs if such a framework were ...

It comes after Cooke admitted fraud, misappropriating £3822 that was given to him to take out a public liability insurance policy for a client. When the client later tried to claim, it was discovered ...

The House of Representatives passed a resolution to repeal the regulations that created reporting requirements for trading front-end service providers that work directly with users on digital asset ...