The brokerage industry regulator once again takes a stab at updating rules for independent brokers with other businesses and ...

"This marks the first expansion of our special purpose broker-dealer's business activities and we look forward to working with regulators on additional permissible avenues of growth that leverage ...

FINRA's proposal would not require broker-dealers to monitor the activities of advisors who merely use their position at an outside RIA to recommend investments to clients. But opponents contend ...

Broker-dealers need smart ways to grow and protect their business as clients' financial needs become broader and more ...

This proposed rule seeks to replace two longstanding, often-criticized rules—Rules 3270 and 3280—with a unified framework ...

Individual wallets are a key to that. This expansion of our special purpose broker-dealer's permissible business activities is therefore a significant milestone, even if its yield will play out ...

"We have continued to expand our permissible business activities to support an end-to-end solution for crypto asset securities. Our broker-dealers can now drive digital adoption by supporting ...

The SEC clarified that crypto must follow existing custody and disclosure rules. Broker-dealers must treat tokenized securities like traditional ones. Bitcoin and Ether may qualify ...

The U.S. Securities and Exchange Commission said Monday that two broker-dealers owned by Robinhood ... failing to accurately ...

"Our goal is for our broker-dealers to engage in a full service digital asset business in a responsible manner," said David Goone, tZERO's CEO. "Each new expansion of our business activities is a ...