Welcome to SEC Roundup, a bimonthly video series by former Securities and Exchange Commission senior trial counsels Nick Morgan and Tom Zaccaro, founders of the nonprofit advocacy group Investor ...
Banking institutions face a sea of change in their industry due to new regulations specified by the Gramm-Leach-Bliley (GLB) law. They now have more time to adjust to the broker-dealer registration ...
Dinari is first tokenized equity platform to get US approval Coinbase, Kraken also exploring blockchain-based stocks Proponents say tokenized stocks could reduce trading costs June 26 (Reuters) - ...
A broad array of financial market participants—mutual funds, private funds, insurers, pension funds, family offices, individuals, and more—may be at risk after the Securities and Exchange Commission ...
Prime brokerage Hidden Road, which was recently acquired by Ripple for $1.25 billion, has secured a broker-dealer license from the Financial Industry Regulatory Authority (FINRA) — a move that ...
Welcome to SEC Roundup, a bimonthly video series by former Securities and Exchange Commission senior trial counsels Nick Morgan and Tom Zaccaro, founders of the nonprofit advocacy group Investor ...
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