Mondo Visione  Dec 16  Comment 
The Securities and Exchange Commission today announced settled cease-and-desist proceedings against the CEO of a Utah-based broker-dealer and two registered persons associated with the firm for causing the firm’s violations of SEC market...
Mondo Visione  Nov 23  Comment 
In this second instalment of the three part article series focusing on capital and credit management, we explore how broker-dealers are coping with the changes in regulation, the operating models they are having to implement, key trends and future...
Reuters  Oct 28  Comment 
Wall Street broker-dealer profits for the full year are on track to surpass that of 2015 and could end three years of consecutive declines in the industry, according to a report on Friday by New York state Comptroller Thomas DiNapoli.
Reuters  Sep 13  Comment 
Toronto-Dominion Bank's capital markets division said on Tuesday it plans to acquire Albert Fried & Co, a New York-based broker-dealer, to expand its presence in the U.S. prime...
Mondo Visione  Aug 11  Comment 
TradeZero, an online broker dealer registered with the Securities Commission of the Bahamas, has announced today that it has teamed up with Bitcoin serial entrepreneur Jered Kenna to create the world’s first “dark pool” exchange for Bitcoin...
Mondo Visione  Jul 13  Comment 
The Securities and Exchange Commission today voted to propose rules that for the first time would require broker-dealers to disclose the handling of institutional orders to customers.  The proposed rules also would expand the information included...
Clusterstock  Mar 22  Comment 
WASHINGTON (Reuters) - United States regulators should offer standard regulations for broker dealers and the Securities and Exchange Commission will offer its own proposal, the head of the SEC said on Tuesday. The SEC should outline a proposal to...
New York Times  Feb 25  Comment 
Dodd-Frank’s Title II provision for the broker-dealers, also known as “orderly liquidation authority,” has always been a bit confusing.
Motley Fool  Feb 21  Comment 
Individual investors work with both of these investment professionals, but do you know the difference?


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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