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, ...
A survey by Cerulli Associates found that securing distribution space is a challenge, particularly for issuers with active ...
On December 20, 2024, the Securities and Exchange Commission (SEC) issued a final rule amending SEC rules 15c3-3 (the customer protection rule) and 15c3-1 (the net capital rule). The SEC also amended ...
tZERO's Special Purpose Broker Dealer (one of two in the US) and Tokenization Unit continue to lead compliant Digital Securities end-to-end lifecycle, new capabilities to enhance transparency, ...
The Dutch neobank had applied for a banking license in 2023 but withdrew that bid over a “difference of views” among the OCC, ...
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