The Public Company Accounting Oversight Board (PCAOB) has published a new staff document titled “Broker-Dealer Audit Focus: Review Engagements Regarding Exemption Reports”. The publication is part of ...
The move to the independent broker-dealer channel is a popular choice for advisors seeking greater freedom and expanded product offerings. However, not all independent firms are structured the same, ...
Dutch digital bank Bunq on Tuesday said it's filed for broker-dealer registration in the U.S. as it looks to further expand across the Atlantic. Bunq CEO Ali Niknam said the broker-dealer application ...
Prime brokerage Hidden Road, which was recently acquired by Ripple for $1.25 billion, has secured a broker-dealer license from the Financial Industry Regulatory Authority (FINRA) — a move that ...
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