Banking Business Review  Jun 27  Comment 
Uphold, a global digital money platform, has reached an agreement to acquire New York Stock Exchange member JNK Securities.  Jun 7  Comment 
Bloomberg: Fed on Track to Raise Rates Regardless of Emerging-Market Woes Wall Street Journal: Coinbase Expands With Deal for Broker-Dealer Keystone Capital New York Post: SEC…
Mondo Visione  Apr 19  Comment 
The Securities and Exchange Commission today voted to propose a package of rulemakings and interpretations designed to enhance the quality and transparency of investors’ relationships with investment advisers and broker-dealers while preserving...
Financial Times  Apr 19  Comment 
Conflict-of-interest proposals cheer industry and disappoint fiduciary rule supporters
Mondo Visione  Mar 28  Comment 
Aegis Capital Corporation, a New York-based brokerage firm, has admitted that it failed to file Suspicious Activity Reports (SARs) on numerous suspicious transactions. Broker-dealers are required to file SARs for certain transactions suspected...
Mondo Visione  Mar 27  Comment 
The Securities and Exchange Commission announced charges against Wedbush Securities Inc. for failing to supervise employee Timary Delorme after the broker-dealer ignored numerous red flags indicating that Delorme was involved in a long-running...
Mondo Visione  Feb 28  Comment 
The Securities and Exchange Commission today charged three-time recidivist Steven J. Muehler with operating an unregistered broker-dealer, facilitating an unregistered securities offering, and defrauding small businesses, while promising to help...


A broker-dealer is a company that trades securities both for its own investment accounts as well as for third-party customers/clients.

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