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 ...
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 ...
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 ...
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).
On April 13, 2026, the staff of the Division of Trading and Markets (“Staff”) of the U.S. Securities and Exchange Commission (“SEC” or “Commission”) issued a statement (“Statement”) clarifying its ...
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