A broker-dealer is one of the most important people or firms you’ll work with as you invest your money. Broker-dealers are the professionals who buy and sell securities for clients while building ...
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SEC Releases Crypto FAQs: What They Mean for Custody, Tokenized Securities & Broker-dealers
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 as readily ...
For advisors contemplating switching to a new broker-dealer, carefully evaluating the candidate firms' technology platforms is essential. Their robustness and capabilities can directly influence both ...
FLASH FRIDAY is a weekly content series looking at the past, present and future of capital markets trading and technology. FLASH FRIDAY is sponsored by Instinet, a Nomura company. On May 16, 2024, the ...
Welcome to "Show Me Your Stack," a series from Financial Planning in which we interview those who deliver financial advice to learn what tools they rely on to make it happen. Rising client ...
Broker-dealer advocates are calling for an amendment to a 2001 Financial Industry Regulatory Authority (FINRA) rule, arguing that the current regulation fails to reflect the characteristics and ...
The new rule would permit brokers to use projected performance in communications about qualified retirement plan investing. The Financial Industry Regulatory Authority proposed a new rule Friday that ...
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