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 ...

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 ...

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

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 ...

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 ...

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

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 ...

Percent, the innovative platform that has created the modern credit marketplace, announced its official status as a registered broker-dealer, “marking another milestone moment in the continued ...

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 ...