The Dutch neobank had applied for a banking license in 2023 but withdrew that bid over a “difference of views” among the OCC, ...

(Reuters) -Dutch online bank Bunq said on Monday that it had received a licence to operate as a broker-dealer in the United ...

Broker-dealer groups support Securities and Exchange Commission approval of the Municipal Securities Rulemaking Board's multi ...

Stifel Financial Corp. continued its long-term move away from the independent broker-dealer industry when it said on Monday ...

The Financial Industry Regulatory Authority is probing broker-dealer firms involved in taking small foreign companies public, ...

The industry group says current rules are outdated and overly broad, urging reforms to better reflect modern communication ...

Europe’s second-largest neobank, has been approved by FINRA to operate as a US broker-dealer – a move driven by users who live, work and invest across both Europe and the US. The approval marks bunq’s ...

Discover how inter-dealer brokers facilitate large financial transactions, improve market liquidity, and offer anonymity in OTC markets, benefiting financial institutions.

Compare the Series 66 and 63 exams to see how they differ, who needs each license, and which one best fits your career path ...

As crypto collides with traditional finance, the trading firm is moving to secure a bigger role in capital formation in the United States.

XBase Virtual Assets Broker and Dealer Services, has been granted In-Principal Approval (IPA) from the Dubai Virtual Assets Regulatory Authority (VARA) for a Broker-Dealer Services Licence. The IPA is ...

Equitable, a leading financial services organization and principal franchise of Equitable Holdings, Inc. (NYSE: EQH), ...