Regulators have accused a New York City brokerage firm of running a four-year fraud involving excessive trading that produced ...

The U.S. Securities and Exchange Commission has issued a new staff statement that sharply clarifies how broker-dealers must ...

Discover whether obtaining a securities license is worth the effort for financial planners. Learn about the benefits and ...

Some traders need a high level of support -- enter the prime brokerage. Image Credit: Getty Images Large institutions don’t invest in the capital markets like you or I. While we use a brokerage to ...

Securities America Advisers, the RIA arm of leading independent broker-dealer Securities America Inc., was fined $1.75 million by the Securities and Exchange Commission Wednesday for allegedly failing ...

In the complex landscape of finance and investment, broker-dealers play a pivotal role, acting as intermediaries in the buying and selling of securities. They represent the heartbeat of the financial ...

Better get used to those Zoom meetings. Alpine Securities, a Utah-based brokerage that’s in hot water with Wall Street’s self-regulator over $5,000 monthly fees, lost its bid to force FINRA to hear ...

Securities lending, a sometimes disorderly business with myriad standards, could have a formal exchange within five years, an industry researcher predicts. As far as transparency goes, the equity ...

South Korea's first investment product operated under so-called investment management accounts (IMA) was introduced to the ...