Compare broker-dealers and RIAs to understand their roles, regulations, and which suits your investment needs. Learn the key ...

Fund sponsors often engage investment banking or placement firms to help raise capital or generate deal flow for their funds. In exchange, the sponsor may offer a cash fee, a piece of the sponsor’s ...

Dutch digital bank Bunq has secured a U.S. broker-dealer licence, reviving its ambitions to enter the American market after ...

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

Netcapital announced recently that is pursuing a broker-dealer license in order to increase potential revenue generation. The company intends to expand service offerings to include Reg A+ and Reg D ...

Welcome to SEC Roundup, a bimonthly video series by former Securities and Exchange Commission senior trial counsels Nick Morgan and Tom Zaccaro, founders of the nonprofit advocacy group Investor ...

Dutch digital bank Bunq said Tuesday that it's applied for a broker-dealer license, in an initial step toward securing a full banking license. Bunq will be able to offer most of its services in the ...

The PCAOB and SEC issued guidance on the registration of auditors of nonpublic broker-dealers. Until recently, auditors of nonpublic broker-dealers were not required to register with the PCAOB as a ...

NEW YORK, April 17, 2025 /PRNewswire/ -- Hidden Road, the global credit network for institutions, today announced that its wholly-owned subsidiary, Hidden Road Partners CIV US LLC, has secured ...

Prime brokerage Hidden Road, which was recently acquired by Ripple for $1.25 billion, has secured a broker-dealer license from the Financial Industry Regulatory Authority (FINRA) — a move that ...

A discussion of key issues that a broker-dealer transacting in cryptocurrency and other digital assets must consider when determining how to comply with US federal securities laws and Financial ...