The SEC clarified that crypto must follow existing custody and disclosure rules. Broker-dealers must treat tokenized securities like traditional ones. Bitcoin and Ether may qualify as readily ...

Technology's allure is undeniable for financial advisors weighing a move to a new broker-dealer. Sleek interfaces, integrated apps, and workflow-reducing features promise efficiency and a world-class ...

ZERO Digital Asset Securities reached a milestone in its role as a Special Purpose Broker-Dealer (SPBD) permitted to custody tokenized securities.

ZERO has announced that its subsidiary tZERO Digital Asset Securities, LLC has successfully completed its first regulatory exam as a Special Purpose ...

The Lewis F. Powell, Jr. Courthouse, home of the Fourth Circuit, in Richmond, Virginia. (Acroterion/ Wikipedia Commons via Courthouse News) RICHMOND, Va. (CN) — Fourth Circuit judges on Tuesday ...

We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...

Now that buying and selling bitcoin has evolved to encompass exchange-traded funds that invest in the digital asset, broker-dealers will inevitably ponder the Shakespearian question about a bitcoin ...

The new rule would permit brokers to use projected performance in communications about qualified retirement plan investing. The Financial Industry Regulatory Authority proposed a new rule Friday that ...

The PCAOB issued a reminder to auditors of brokers and dealers Wednesday that the board’s new audit standards differ in certain respects from previous generally accepted auditing standards that ...