As the broad stock market stumbled in January, investors ran to alternative investments, buying a record amount ... Stanger & Co. Inc. Broker-dealers' sales of such alternative investments ...

A stock record is a master list of the securities ... "17 CFR PARTs 240 and 242—Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934." ...

(Photo by Alex Wong/Getty Images) On April 16 th, SpeedRoute, owned by tZero, announced it broke its monthly trading volume record because ... 2016 as a strategic broker-dealer acquisition.

With Cetera Holdings potentially eyeing an initial public offering and stock listing in the next ... to further integrate its broker-dealers. “2023 was a record year of success and growth ...

Stock exchanges are also where companies go to "list" their shares ... Under this regulation, an ATS must be operated by a broker-dealer that is a FINRA member. As a result, ATSs are also subject ...