Coinbase to face lawsuit over unregistered securities sales, judge rules
Coinbase has been mired in a lawsuit with the US Securities and Exchange Commission since June 2023, when the regulator ...
LPL Financial: Jackson/Roskelley joins broker-dealer, RIA, custodial platforms
LPL Financial (LPLA) announced that financial advisors Jared Roskelley and Kyle Robertson of Jackson/Roskelley Wealth Advisors have joined LPL ...
Fixed income quotation: SEC extends 15c2-11 relief, again
For broker dealers who were dreading the full implementation of the Fixed Income Quotation rule, SEC rule 15c2-11, staff once ...
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SMBC Group Americas Unit Designated Primary Dealer by Federal Reserve Bank of New York
SMBC Nikko Securities America, Inc., a registered broker-dealer and direct subsidiary of SMBC Americas Holdings, Inc., has been designated a primary dealer by the Federal Reserve Bank of New York.