The Securities and Exchange Commission has announced multi-million dollar penalties for investment advisors and broker dealers, mostly resulting from record-keeping failures. A combined $63.1 ...

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 ...

[1] Staff Summary Report on Examinations of Information Barriers: Broker-Dealer Practices under Section 15(g) of the Securities Exchange Act of 1934 (Exchange Act) by the Staff of the Office of ...

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

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 ...

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.

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 ...

and futures options brokerage services as a licensed securities broker-dealer and futures commission merchant (FCM). TradeStation Securities is a member of major equities and futures exchanges in ...

iShares U.S. Broker-Dealers & Securities Exchanges ETF (IAI) stock price is 157.15 and iShares U.S. Broker-Dealers & Securities Exchanges ETF (IAI) 10-day simple moving average is 153.27.