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Dealers
Democratizing Investing: A Revolution in the Making?
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The Institutionalization of Bitcoin: Effects on Price and
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Open Banking and Digital Identity: Implications and Opportunities
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FunderPro Sponsors Ferrari F1 Protégé & Youngest British Formula
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Democratizing Investing: A Revolution in the Making?
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The Institutionalization of Bitcoin: Effects on Price and
Education Center
Open Banking and Digital Identity: Implications and Opportunities
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Regulation
First Standard Loses Broker-Dealer License for Excessive Trading
The core allegations involve excessively trading customer accounts, which led to $28 million in losses.
Tuesday, 05/11/2019 | 15:28 GMT
by
Aziz Abdel-Qader
Regulation
Security Token Platform TokenSoft Acquires US Broker Dealer
The acquisition puts the company on a firmer regulatory footing with the Securities and Exchange Commission.
Thursday, 13/12/2018 | 19:02 GMT
by
Aziz Abdel-Qader
Execution
INTL FCStone Acquires NY Broker Dealer GMP Securities
Established in 1999, GMP Securities employs approximately 40 people across New York, Fort Lauderdale, Stamford and Plano.
Wednesday, 12/12/2018 | 15:40 GMT
by
Aziz Abdel-Qader
Brokers
Heightened Supervision Measures are Lacking Amongst Broker-Dealers
An examination found some of its members have no heightened supervision measures in place at all.
Wednesday, 26/09/2018 | 07:36 GMT
by
Celeste Skinner
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Regulation
Athena Blockchain Teams Up with US Broker Dealer 303 Alternatives
The acquisition puts the Chicago-based company on a firmer regulatory footing.
Monday, 27/08/2018 | 17:07 GMT
by
Aziz Abdel-Qader
News
Crypto Dealer SFOX Raises $22.7M to Create Products for Institutional Investors
The firm also plans to expand its staff and offices.
Friday, 17/08/2018 | 07:23 GMT
by
Rachel McIntosh
Executive Moves
Tribal Capital Markets Hires Ian C. Burdette as Head of Trading and Risk
Burdette joins the broker with more than 20 years of experience, including senior roles at Merrill Lynch and Goldman Sachs.
Thursday, 19/07/2018 | 06:25 GMT
by
Celeste Skinner
Regulation
Broker Dealer Cites Technicality for Relief in $17.2 Million Case
The judge rejected the prosecutors’ bid to bring this case under the 2010 Dodd Frank Act and its limit of 6 years.
Monday, 07/08/2017 | 07:55 GMT
by
Colin Firth
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Thought Leaders
What Difficulties do Chief-Dealers Face?
Problems might crop up with the growth of your client base and orders.
Tuesday, 27/06/2017 | 14:40 GMT
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