Defra has confirmed a wide-ranging reform of the waste carrier, broker and dealer (CBD) system in England. The changes are ...

On February 5, 2013, the SEC released FAQs regarding Section 201 of the JOBS Act, which offers a new limited exemption from broker-dealer registration.

A crypto startup said it has received the first special purpose broker-dealer license under Securities and Exchange Commission guidelines that would allow it to custody digital assets securities ...

Preferably, this will be done by exempting business brokers from the broker-dealer registration requirements. Alternatively, Congress can create a reasonable regulatory regime for business brokers.

According to the SEC, which publishes a comprehensive guide on broker-dealer registration, "every state has its own requirements for ... conducting business as a broker-dealer within that state." ...

Many other broker-dealers are unable to custody customer funds, creating the need to send money to a third-party escrow agent which equates to a fragmented, multistep process.

CRYPTOCURRENCY Dinari granted first broker-dealer registration to offer tokenized stocks FILE PHOTO: A screen displays charts the Dow Jones Industrial Average after the closing bell on the floor at ...

Having a broker-dealer means that private equity managers are permitted to accept transaction-based compensation in connection with raising capital for their portfolio companies, or assisting in ...