Toss Securities appointed Richard J. Hagen as the local CEO of its subsidiary TSA Financial (TSAF) and began the process of ...

The rule change addresses situations in which a firm has ceased to exist, is nonoperational or no longer wishes to remain registered.

Donald M. Johnson, who pleaded guilty to a single count of broker-dealer registration violation and saw his probation revoked ...

Paul Hastings’ Brad Bondi, Ryan Swan, and Scott Gluck review the latest SEC examination priorities, which include artificial intelligence use and crypto-focused investment strategies and assets.

The North American Securities Administrators Association (NASAA), an international organization devoted to investor ...

On October 21, 2024, the Division of Examinations (“EXAMS” or the “Division”) of the U.S. Securities and Exchange Commission ...

The best crypto broker depends on your needs and if they support the altcoin that you’re interested in. Yes, in most countries, crypto brokers need to obtain a license to legally operate.

Diversified Capital Management was previously with Cadaret Grant before it was bought by Atria Wealth (which was subsequently ...

After whiffing on a broker transarency update in October, FMCSA is proposing to delay the compliance date for a variety of ...

The Singapore-based digital asset exchange Crypto.com has acquired the US broker-dealer Watchdog Capital in an effort to ...

Ranked by Austin office: Broker-dealer AUM Dec. 31, 2023 The Ampersand Agency has been one of Austin’s premiere branding firms for the past… COLLEGE STATION, TX, October 18, 2024 ...

Hagen as the local CEO of its subsidiary TSA Financial (TSAF) and began the process of obtaining a U.S. broker-dealer license by the end of the year, the company said Tuesday. In August ...