Part of the criteria to be a primary dealer includes being registered with the Securities and Exchange Commission as a broker-dealer and having at least $150 million in Tier 1 capital, which is ...

A dealer is a specialized type of trader who commits to continuously make two-sided markets in the securities that they deal in. This means that they will always be posting both a bid and an offer.

“Market participants engaging in this technology deserve clear regulatory rules of the road,” Atkins said. Speaking at the ...

A dealer is someone who has a business buying and selling securities for their own account. They’re a bit different from brokers who act as agents to make trades happen, or traders who buy and ...

Citadel Securities has quietly shelved plans to join one of Wall Street’s most prominent clubs: The ranks of bond dealers that trade directly with the Federal Reserve.

A Biden-era enforcement action against a penny stock trader in Minnesota is heading back to district court after the SEC ...

The Securities and Exchange Commission tossed a case alleging a Boston hedge fund adviser failed to register as a securities ...

tZero Digital Asset Securities becomes the second SEC and FINRA-approved special purpose broker-dealer for digital asset securities, allowing it to provide custody, clearance and settlement ...