Tag: Broker-dealer

LPL Financial to acquire The Investment Center, a $9B firm with 240 advisors. Deal closing expected by 2025 pending approval.

Major Wall Street firms pay $470M to US regulators for violating recordkeeping rules through non-compliant communication channels.

Ripple's top lawyer questions SEC's sudden drop of Ethereum probe, raising concerns over Ether's legal status and ongoing regulatory uncertainty.

Laser Digital gains FSP from ADGM, allowing Nomura’s arm to offer crypto trading and asset management in Abu Dhabi, expanding ...

Bitcoin ETFs from BlackRock and Fidelity have exceeded expectations, with significant inflows and high trading volume, even rivaling the S&P ...

LPL Financial's acquisition of Atria Wealth Solutions is expected to increase its reach and earnings, boosting its share price and ...

Raymond James Financial appoints Alex David to lead independent financial advisors in the Northeast, strengthening their services in the region.

Employee-owned international broker-dealer Baird expands into California with the launch of a California Public Finance group, headed by veteran banker ...

Prometheum's new special-purpose broker-dealer license for Ethereum trading as a security raises regulatory questions. Ethereum's market performance remains stable amidst ...

Prometheum's custodial services for Ethereum may prompt the SEC to decide Ethereum's legal status, potentially challenging existing securities laws in ...