The Staff’s most recent actions continue to set the stage for notice-and-comment rulemaking long-awaited by the digital asset industry. On May 15, 2025, the Securities and Exchange Commission’s ...

A statement this month from U.S. Securities and Exchange Commission (“SEC”) Division of Trading and Markets unlocked a particularly critical part of securities laws for broker-dealers looking to ...

Securities America, a division of Ameriprise (NYSE: AMP), faced legal and financial peril this week due to failed private placements, but it is only the latest in a series of cases that have cropped ...

In just two short years, suitability review and sales practice monitoring have become the challenges facing broker/dealers, according to a white paper released today by Albridge/Beacon Strategies. The ...

In a February 24 order (Release No. 34-104881), the SEC amended and restated an exemption under Section 17(h)(4) of the Securities Exchange Act of 1934, from the requirements of Rule 17h-1T and Rule ...

The securities regulator has continued its Project Crypto work to make unofficial policy changes as it moved to let broker-dealers treat stablecoins as capital.

The Public Company Accounting Oversight Board released a new staff publication aimed at auditors of broker-dealers who are performing review engagements involving exemption reports. Processing Content ...

EB5 Investors Magazine selected Vivek Tandon among the Top 5 Broker-Dealers for 2025, based on industry standing and due diligence practices. The award appears in the magazine’s latest edition, ...

As a natural extension of its digital asset securities custodial business, tZERO's Special Purpose Broker Dealer can now broker transactions for its customers on a non-custodial basis SALT LAKE CITY, ...

The independent broker-dealer’s new 13-story San Diego headquarters is the nation’s largest net-zero energy building, says the firm. The independent broker-dealer increased its financial advisor rep ...