News

InvestmentNews15h
SEC rejects Texas advisor's 'moral obligation' defense over trading in deceased client's account
The ex-registered broker facilitated a series of transactions, including nine trades totaling nearly $130,000 and eight ...
Westfair Communications8d
Putnam broker banned for misleading investors
A Putnam County securities broker has been sanctioned for failing to disclose commissions to investors and for receiving ...
USA Today2d
tZERO’s Strengthens its Institutional Infrastructure Footprint in Crypto Asset and Traditional Securities, Now Offers Correspondent Clearing Services to Other Broker-Dealers
tZERO’s broker-dealer is one of only two in the United States to support crypto securities custody and is now a leading provider of institutional custody to other firms that are not approved to ...
CCN on MSN7d
SEC Releases Crypto FAQs: What They Mean for Custody, Tokenized Securities & Broker-dealers
The SEC clarified that crypto must follow existing custody and disclosure rules. Broker-dealers must treat tokenized ...
Morningstar2d
tZERO's Strengthens its Institutional Infrastructure Footprint in Crypto Asset and Traditional Securities, Now Offers Correspondent Clearing Services to Other Broker-Dealers
tZERO's broker-dealer is one of only two in the United States to support crypto securities custody and is now a leading provider of institutional custody to other firms that are not approved to ...