The SEC Division of Trading and Markets recently issued significant no-action relief permitting registered representative–owned personal ...
"What we plan to tell the SEC is that municipal securities in general shouldn't be subject to Reg. AB," BDA's Michael Decker ...
Zacks Investment Research on MSN
Should You Invest in the iShares U.S. Broker-Dealers & Securities Exchanges ETF (IAI)?
Designed to provide broad exposure to the Financials - Brokers/ Capital markets segment of the equity market, the iShares U.S. Broker-Dealers & Securities Exchanges ETF (IAI) is a passively managed ...
(Reuters) -Dutch online bank Bunq said on Monday that it had received a licence to operate as a broker-dealer in the United States, part of a drive to expand outside of Europe. Being a broker-dealer ...
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