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 ...

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.

The online trading firm has agreed to settle the Securities and Exchange Commission fines, related to 10 violations, ...

Robinhood, a disruptive force in the market for Main Street investors but also a serial offender of securities laws, will pay a total of $45 million to settle numerous violations of SEC rules and ...

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 ...