Fee-only and fee-based financial advisors may sound alike, but they are compensated differently. Learn which one you need and ...

Uphold has taken a significant step toward expanding its on-chain financial infrastructure by submitting an application to ...

New York City, New York, December 4th, 2025, Chainwire Uphold submits application with FINRA to launch tokenized securities ...

Apex Group, a financial-services provider with more than $3 trillion in assets under administration, is set to acquire London-based Globacap, an investing platform with a U.S.-regulated broker-dealer, ...

As the ETF market gets increasingly crowded, issuers often face an uphill battle finding distribution space for new funds, particularly when it comes to actively managed vehicles or those with novel ...

The Financial Industry Regulatory Authority has approved neobank Bunq’s bid for a U.S. broker-dealer license, the Dutch lender announced Monday. The license allows users to invest in U.S. stocks, ...

This content has been selected, created and edited by the Finextra editorial team based upon its relevance and interest to our community. The approval marks bunq's first step into the US market and ...

For many financial advisors, dissatisfaction with a current broker-dealer eventually raises the question: is it time to make a move? The recent trend of broker-dealer consolidation through mergers and ...

In Early September 2025, TRAU convened the RPA Broker/Dealer Roundtable and Thinktank at the Broadridge offices in New York City. Attending was a group of senior executives of the defined contribution ...

London-based GSR, one of crypto’s largest market makers, has agreed to acquire Equilibrium Capital Services, a FINRA-registered broker-dealer shell company based in Portland, Oregon. The market maker ...

The independent broker-dealer channel has emerged as a leading force in the US wealth management industry, outpacing other channels in advisor-managed asset growth and reshaping the competitive ...

Welcome to SEC Roundup, a bimonthly video series by former Securities and Exchange Commission senior trial counsels Nick Morgan and Tom Zaccaro, founders of the nonprofit advocacy group Investor ...