The Securities and Exchange Commission has announced multi-million dollar penalties for investment advisors and broker ...

On January 13, the SEC published to the Federal Register a final amendments to Rule 15c3-3 – the Broker-Dealer Customer Protection Rule – to ...

Stocks: Real-time U.S. stock quotes reflect trades reported through Nasdaq only; comprehensive quotes and volume reflect trading in all markets and are delayed at least 15 minutes. International ...

On January 13, a broker-dealer agreed to pay over $40 million to settle SEC charges that it failed to properly supervise its employees in the sale ...

Robinhood Securities will pay $33.5 million as part of the settlement, while Robinhood Financial will pay $11.5 million. The firms have also agreed to conduct internal audits and address the ...

The Securities and Exchange Commission today announced that broker-dealers Robinhood Securities LLC and Robinhood Financial ...

Alessandro Cavallari and Steve Gutowski of Societe Generale Securities Services discuss the evolving post-trade landscape, emphasising brokers' need for technological adaptability and strategic ...

The Fund invests at least 90% of its assets in securities of the Underlying Index and in depositary receipts representing securities of the Underlying Index.

Stocks: Real-time U.S. stock quotes reflect trades reported through Nasdaq only; comprehensive quotes and volume reflect trading in all markets and are delayed at least 15 minutes. International ...