A struggling broker-dealer’s efforts to close all of its retail customer accounts by applying theories of abandonment, including mischaracterizing securities as “worthless” and making misstatements ...

A statement this month from U.S. Securities and Exchange Commission (“SEC”) Division of Trading and Markets unlocked a particularly critical part of securities laws for broker-dealers looking to ...

In a February 24 order (Release No. 34-104881), the SEC amended and restated an exemption under Section 17(h)(4) of the Securities Exchange Act of 1934, from the requirements of Rule 17h-1T and Rule ...

The Qualified Special Representative Agreement (QSR) lets broker-dealers clear trades directly with the NSCC, bypassing Nasdaq ACT, for simpler and cost-effective processing.

Securities America, a division of Ameriprise (NYSE: AMP), faced legal and financial peril this week due to failed private placements, but it is only the latest in a series of cases that have cropped ...

The Public Company Accounting Oversight Board released a new staff publication aimed at auditors of broker-dealers who are performing review engagements involving exemption reports. Processing Content ...

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 ...

The securities regulator has continued its Project Crypto work to make unofficial policy changes as it moved to let broker-dealers treat stablecoins as capital.

In Early September 2025, TRAU convened the RPA Broker/Dealer Roundtable and Thinktank at the Broadridge offices in New York City. Attending was a group of senior executives of the defined contribution ...

The Securities and Exchange Commission has proposed new rules that would restrict the bonuses given at broker-dealers and investment advisors with more than $1 billion in assets. Finra levied $45 ...

As a natural extension of its digital asset securities custodial business, tZERO's Special Purpose Broker Dealer can now broker transactions for its customers on a non-custodial basis SALT LAKE CITY, ...

CHARLESTON, SC, Feb. 24, 2026 (GLOBE NEWSWIRE) -- Ballast Rock Capital (MEMBER: FINRA / SIPC) today announced a significant expansion of its capabilities, offering sophisticated compliance ...