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.

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 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 ...

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

Ondo Finance has acquired SEC-registered Oasis Pro, strengthening its foothold in the US tokenized securities space as it ...

A real-world asset tokenization platform has acquired a broker-dealer registered with the U.S. Securities and Exchange ...

The deal, pending regulatory approval, would give Ondo licenses to operate a broker-dealer, ATS and transfer agent for ...

These investors expected to profit, the SEC alleged. However, Cumberland did not register as a securities dealer. The SEC, as it has in a few previous suits, went through the five example ...