JD Supra3d
SEC Amends the Customer Protection Rule to Require Daily Reserve Formula Computations for Large Clearing/Carrying Broker-Dealers
On December 20, 2024, the Securities and Exchange Commission (SEC) issued a final rule amending SEC rules 15c3-3 (the customer protection rule) ...
Mutual Fund Sues Broker-Dealer for Alleged Defaming to Investors
Leader Capital Corp. alleges that a broker-dealer and fund it worked with spread confidential and false information that it wasn’t complying with securities laws, causing investors to withdraw from ...
InvestmentNews3d
Stifel sharpens focus on healthcare, tech deals with strategic acquisition
The financial services giant is expanding its investment banking business by snapping up a specialist firm catering to the ...
LPL Financial: Lewellyn Wealth joins broker-dealer, RIA, custodial platforms
LPL Financial (LPLA) announced that father and son financial advisors Bart Lewellyn and Alex Lewellyn have joined LPL Financial’s ...
The Daily Hodl5d
Binance Granted Broker-Dealer License by Brazil’s Central Bank After Acquiring Brazilian Financial Services Firm
The world’s largest centralized crypto exchange by volume has received a broker-dealer license in Brazil via an acquisition.
Cryptopolitan on MSN7d
Binance becomes the first crypto exchange to receive broker license in Brazil
Binance has received approval from Brazil’s Central Bank to acquire Sim;paul, a licensed broker-dealer, marking its 21st ...
Crowdfund Insider11d
Alpaca Shares Key 2024 Milestones, Becomes Self-Clearing Broker-Dealer and Launches Options Trading
Alpaca says it had a landmark year in 2024 as they became a fully self-clearing broker-dealer and launched new features like ...