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Latest News for: broker-dealer

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Citadel, Virtu now questioned about MMTLP in latest subpoena

FrankNez 07 Mar 2025
“This action against Citadel Securities demonstrates that a broker-dealer’s failure to comply with the requirements of Reg SHO can have negative downstream consequences on the accuracy of the firm’s ...
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Virtu Financial Introduces VTS for Sell-Side Brokers Following Tokyo Stock Exchange Integration

Finance Magnates 06 Mar 2025
has introduced Virtu Technology Solutions (VTS), a product suite designed to offer its execution services technology to sell-side broker-dealers globally ... Virtu Expands VTS Offering for Broker-Dealers ... Introduction of Modular Suite for Broker-Dealers.
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tZERO Sets the Date for the Full Tokenization of TZROP

ACCESSWIRE 06 Mar 2025
Once completed, TZROP will become the first digital asset security to be custodied by tZERO's Special Purpose Broker-Dealer, tZERO Digital Asset Securities, one of only two digital securities broker-dealer custodians in the US.
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Decoding Crucial SEC Crypto Task Force Discussions on Crypto Regulation with WisdomTree

Bitcoin World 06 Mar 2025
Application of Broker-Dealer Net Capital Rules to Crypto Assets. Broker-dealer net capital rules are designed to ensure that financial firms maintain sufficient liquid assets to cover their liabilities and protect customer funds.
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Plural Expands Regulatory Capabilities with Broker-Dealer Acquisition

PR Newswire 06 Mar 2025
Leveraging its newly acquired broker-dealer, Plural's regulatory stack enables compliant investment in security tokens backed by clean energy infrastructure ... The broker-dealer acquisition highlights ...
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Sensex jumps 740 points, but market players still on edge

The Times of India 06 Mar 2025
Brokers and dealers, however, are cautious about the turnaround and warned investors to be on guard over the next few weeks.The sensex opened in the green and picked up steam through the session to ...
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Stocks Under $3 for March 2025: PNPN.V, GV, KITT, TRNR, PRSO, Lead the Charge

GetNews 06 Mar 2025
Power Metallic Mines, (TSX.V. PNPN) (OTC ... (TSXV. CRE) in 2021 ... TheStreetReports (TSR) is responsible for the production and distribution of this content.”TSR” is not operated by a licensed broker, a dealer, or a registered investment advisor.
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Peraso’s (NASDAQ: PRSO) CEO Talks AI, 5G, and Military etc. – ‘The Street Podcast Listen Now”

GetNews 06 Mar 2025
Peraso Inc. (NASDAQ ... Listen to the Podcast Interview Here. ... TheStreetReports (TSR) is responsible for the production and distribution of this content.”TSR” is not operated by a licensed broker, a dealer, or a registered investment advisor.
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AI Co’s: ARBB, GEVI, CYCU, CBDW + More Driving Innovation Across Industries

GetNews 06 Mar 2025
(OTC. CBDW), ARB IOT Ltd. (NASDAQ. ARBB), Cycurion (NASDAQ ... TheStreetReports (TSR) is responsible for the production and distribution of this content.”TSR” is not operated by a licensed broker, a dealer, or a registered investment advisor.
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Diversification is the logical solution to an unpredictable future

Madison 06 Mar 2025
At times, markets can seem only one headline away from a particularly eventful day ... offers investment advisory services in its capacity as an SEC-registered investment advisor and brokerage services in its capacity as an SEC-registered broker-dealer ... .
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SEC Abandons Cumberland DRW Suit: Ripple Case Next?

Coin Edition 05 Mar 2025
This development follows the SEC’s recent dismissal of its lawsuit against the crypto exchange Kraken, coming 15 months after filing charges of unregistered broker-dealer operations. SEC Drops Unregistered Securities Dealer Allegations.
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SEC drops case against Cumberland DRW as crypto enforcement shifts

Invezz 05 Mar 2025
Cumberland, however, dismissed these allegations and pointed out that it registered as a dealer-broker in 2019, calling out the lawsuit as just another example of the regulator’s “enforcement-first ...
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iTrustCapital Launches Premium Custody Accounts - A More Secure Way to Own Crypto in a ...

ACCESSWIRE 05 Mar 2025
.iTrustCapital ... bank account ... banks and custodians ... TrustCapital is not an exchange, funding portal, custodian, trust company, licensed broker, dealer, broker-dealer, investment advisor, investment manager, or adviser in the United States or elsewhere.
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Sidoti Events, LLC Announces Strategic Partnership With Stocktwits To Enhance Retail Investor Conference Engagement

ACCESSWIRE 05 Mar 2025
... of (), which for 25 years has been a premier independent research provider/broker dealer focused on small and micro-cap companies and the institutions that invest in their securities (the "BD").
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Las Vegas company invisible force behind some of nation’s vitamins

Las Vegas Review-Journal 05 Mar 2025
The green bottles with a yellow cap seen at places like Walgreens are made by the Las Vegas company ... The main reason for this new growth? Gummies ... In the settlement, Gorsek was barred from “associating with a registered broker-dealer.” ... .

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