"What we plan to tell the SEC is that municipal securities in general shouldn't be subject to Reg. AB," BDA's Michael Decker ...

The SEC Division of Trading and Markets recently issued significant no-action relief permitting registered representative–owned personal ...

On November 17, 2025, the staff of the Division of Trading and Markets (the “Staff”) of the U.S. Securities and Exchange Commission (SEC) ...

BNY Pershing’s plans to create a new charge on client cash held in accounts of RIAs that custody with Pershing and broker-dealers that use it for clearing are taking shape, with senior industry ...

A broker-dealer subsidiary of Toronto-based BMO Financial Group will pay nearly $41 million in penalties to the Securities and Exchange Commission (SEC) to settle allegations that its traders issued ...

Last year proved to be a healthy season for advisor recruitment at Janney Montgomery Scott. The leading full-service broker-dealer and investment banking firm confirmed that it welcomed 27 experienced ...

(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 ...