Broker-dealers that sold the now defunct private securities deals backed by assisted living developer Inspired Healthcare Capital generated more than $100 million in fees and commissions for ...

The U.S. Securities and Exchange Commission has issued a new staff statement that sharply clarifies how broker-dealers must handle custody of crypto asset securities, marking a shift from years of ...

Many companies seeking to raise capital face the challenge of finding and connecting with potential investors. Registered broker-dealers often assist companies in overcoming this challenge by ...

SEC staff will not object to a 2% haircut on proprietary "payment stablecoin" positions for broker-dealer net capital. The haircut is taken on the greater of the long or short position (not netted).