As of Jan. 1, 2025, a new California law (Assembly Bill 2992) requires real estate agents representing buyers to enter into a ...

Cryptocurrency exchange Coinbase (NASDAQ:COIN) has been ordered to face a lawsuit filed by its customers. The lawsuit accuses the company of illegally selling securities without the necessary ...

In this issue of our monthly Securities Enforcement Roundup, we highlight top securities enforcement developments and cases from January 2025.

Netcapital Securities Inc. (“NSI”), has received approval from the Financial Industry Regulatory Authority ("FINRA") to become a FINRA-member broker-dealer. Netcapital Securities Inc. is ...

Prior to accepting U.S. traders, forex brokers are required to obtain registration as Retail Foreign Exchange Dealers (RFED) from the Commodity Futures Trading Commission (CFTC) and be regulated ...

The corporate regulator is investigating a former senior broker at Lazarus Capital Partners ... Mr Curtis is a former senior dealer at Lazarus, a Sydney-headquartered prime brokerage, asset ...

On January 13, the SEC published to the Federal Register a final amendments to Rule 15c3-3 – the Broker-Dealer Customer Protection Rule – to require daily reserve calculations for certain ...

This analysis is by Bloomberg Intelligence Senior Government Analyst Nathan R Dean. It appeared first on the Bloomberg Terminal. President-elect Donald Trump’s victory — along with his ...

The ongoing effort by the Securities and Exchange Commission to get the financial advice industry to focus on the interest big firms pay to clients for their cash took another turn today when the ...

Two brokerage units of investment firm Robinhood Markets have agreed to pay $45 million in combined civil penalties to settle a range of SEC violations arising from their brokerage operations ...

Cooper is also charged with “breaching his duty of confidentiality to his broker-dealer and misappropriating the information when he improperly disclosed it to Lowe, Ringel and others with ...