Last year, the Securities and Exchange Commission amended its definition of “dealer” to require broker-dealer registration by some persons or entities previously considered securities “traders” not ...
Discover how inter-dealer brokers facilitate large financial transactions, improve market liquidity, and offer anonymity in OTC markets, benefiting financial institutions.
The Securities Industry and Financial Markets Association is calling on the Securities and Exchange Commission to overhaul its decades-old recordkeeping requirements for broker-dealers and RIAs. In an ...
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BSGM engages CXG to acquire FINRA/SEC-registered broker-dealer to expand publicly traded RWA tokenization operations
Los Angeles, USA, July 14th, 2025, Chainwire: will position Streamex as one of the first NASDAQ-listed SEC and FINRA compliant issuers of RWA tokens in the US. BioSig Technologies, Inc. (NASDAQ: BSGM) ...
The move to the independent broker-dealer channel is a popular choice for advisors seeking greater freedom and expanded product offerings. However, not all independent firms are structured the same, ...
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