As a follow-up to our prior discussion in this area, this article addresses a recent exemption issued to the New York Stock Exchange ("NYSE") by ...

StraightPath Venture Partners, LLC and PMAC Consulting have recently reached settlements with the US Securities and Exchange Commission ...

Nigerian investment platform, Risevest has acquired a U.S. broker-dealer license through its affiliate, Risevest Financial Securities Limited. After Bamboo, the development has made the platform the ...

A Bahamian broker/dealer has been placed in Supreme Court-supervised liquidation amid fears it is almost $11m insolvent and unable to fully repay clients what they are owed. Sir Ian Winder, the chief ...

We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation ...

Dubai’s latest crypto license clears the way for the layer-1 blockchain to launch unique DeFi services and products ...

Historical Prices for iShares U.S. Broker-Dealers & Securities Exchanges ETF Sustainability Rating Indices Commodities Currencies Stocks ...

The United States Securities and Exchange Commission has voluntarily withdrawn its appeal against a Texas federal court ruling that struck down its broker-dealer rule that sought to expand ... and ...

Rowland Marcus Andrade, founder of the AML Bitcoin cryptocurrency, has been convicted of wire fraud and money laundering in ...

The NYSE Arca Securities Broker/Dealer Index was down by roughtly 2.7 percent just before closing. The effects on individual companies varied, but most were down much more than the wider stock market.