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

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

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

Read more about Cryptonews The US House of Representatives moved forward on Tuesday with a key vote to repeal the IRS DeFi broker rule ... decide if the IRS is barred from reintroducing similar ...

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 ...

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 ...

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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 ...

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 ...

This prototype edition of the daily Federal Register on FederalRegister.gov will remain an unofficial informational resource until the Administrative Committee of the Federal Register (ACFR) issues a ...

Valued at a market cap of $162.9 billion, S&P Global Inc. (SPGI) provides credit ratings, benchmarks, analytics, and workflow solutions in the global capital, commodity, and automotive markets ...

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 ...