Sponsor of the Day:
Jerkmate
https://www.finra.org:443/registration-exams-ce/qualification-exams/series28
Series 28 – Introducing Broker-Dealer Financial and Operations Principal Exam | FINRA.org
The Series 28 exam — the Introducing Broker-Dealer Financial and Operations Principal Qualification Exam (FI) — assesses the competency of an entry-level...
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https://www.xcritical.com/blog/broker-dealer-b-d-what-it-is-and-regulation/
Broker-Dealer (B-D): What It Is and Regulation | XCritical
The field of finance is developing rapidly, so new experts appear just as quickly to help novice traders navigate their way to success.
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https://www.sipc.org/portal
SIPC - Broker-Dealer Portal Information
Securities Investor Protection Corporation
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https://www.coindesk.com/business/2025/10/02/crypto-market-maker-gsr-to-acquire-finra-registered-broker-dealer-equilibrium-capital-services
Crypto Market Maker GSR to Acquire FINRA Broker-Dealer Equilibrium Capital Services
Acquisition aims to expand GSR’s U.S. footprint and strengthen its regulated services for institutions
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https://securities.arkansas.gov/securities-2/broker-dealer-investment-adviser/
Broker Dealer / Investment Adviser - Arkansas Securities Department
Jun 26, 2025 - Protecting Consumers, Educating Investors, and Safeguarding the Integrity of Arkansas’s Financial Markets
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https://www.sipc.org/for-members/portal-introduction
SIPC - For Member Firms - Broker-Dealer Portal Introduction
Securities Investor Protection Corporation
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https://www.finra.org:443/rules-guidance/key-topics/broker-dealer-recruitment-disclosures
Broker-Dealer Recruitment Disclosures: Complying with FINRA Rule 2273 | FINRA.org
Representatives who leave their firms often contact former customers and emphasize the benefits the former customers would experience by transferring their...
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https://www.sipc.org/for-members/portal-admin-delegation
SIPC - For Member Firms - Broker-Dealer Portal Administrator Delegation
Securities Investor Protection Corporation
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https://mischlerfinancial.com/
Career Opportunities at Mischler Financial Group-Minority Broker-Dealer Mischler Financial Group
Mischler- diversity-certified minority broker-dealer owned and operated by Service-Disabled Veterans; investment bank institutional brokerage
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https://sombrainc.com/case-studies/unified-system-financial-client
Internal Trading System for Leading Global Broker-Dealer Firm
Jan 21, 2026 - Explore how Sombra Development Team built an all-in-one internal trading system.
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https://www.finra.org/registration-exams-ce/broker-dealers/new-firms
Register a New Broker-Dealer Firm | FINRA.org
To conduct securities transactions and business with the investing public in the United States, both firms and individuals must be registered with FINRA. Firms...
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https://www.sipc.org/for-members/forms
SIPC - For Member Firms - How To File Broker-Dealer Portal Forms
Securities Investor Protection Corporation
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https://www.finra.org:443/rules-guidance/key-topics/crypto-assets/withdrawal-joint-070819-statement
Withdrawal of Joint Staff Statement on Broker-Dealer Custody of Digital Asset Securities | FINRA.org
The staffs of the Division of Trading and Markets and the Office of General Counsel of the Financial Industry Regulatory Authority, Inc. have withdrawn the...
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https://www.steel-eye.com/industry-brokers
Broker-Dealer Compliance Software | RegTech for Brokers | SteelEye
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https://www.nasdaq.com/press-release/nasdaq-enhances-risk-platform-to-help-banking-and-broker-dealer-community-manage-0
Nasdaq Enhances Risk Platform to Help Banking and Broker-Dealer Community Manage Real-Time Risk |...
--Nasdaq today announced it has made a series of enhancements to its risk technology platform, which is widely used by the banking and broker-dealer community...
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https://www.finra.org/registration-exams-ce/broker-dealers
Broker-Dealer Registration | FINRA.org
The FINRA broker-dealer (BD) registration process covers a firm's full life cycle, from meeting initial membership standards to updating and renewing its...
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https://www.klgates.com/SEC-and-FINRA-Broker-Dealer-Enforcement-Recapping-2023-and-Previewing-2024-2-5-2024
SEC and FINRA Broker-Dealer Enforcement: Recapping 2023 and Previewing 2024 | HUB | K&L Gates
Year-end review of broker-dealer enforcement actions by the SEC and FINRA, and preview of upcoming year
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https://www.finra.org:443/registration-exams-ce/broker-dealers/new-firms
Register a New Broker-Dealer Firm | FINRA.org
To conduct securities transactions and business with the investing public in the United States, both firms and individuals must be registered with FINRA. Firms...
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https://www.mondaq.com:443/unitedstates/money-laundering/1768870/fincen-update-huge-penalty-on-broker-dealer-for-willful-aml-sar-and-due-diligence-failures
FinCEN Update: Huge Penalty On Broker-Dealer For Willful AML, SAR, And Due Diligence Failures -...
Apr 6, 2026 - On March 6, the Financial Crimes Enforcement Network (FinCEN) announced a historic $80 million civil money penalty against Canaccord Genuity LLC for willful...
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https://www.smarsh.com/solutions/broker-dealers/
Broker-Dealer Compliance Software and Solutions| Smarsh
Smarsh is the leading choice for broker dealer compliance software. Learn more about how we can help you satisfy regulatory obligations.
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https://www.finra.org/registration-exams-ce/broker-dealers/update-broker-dealer-firm-registration
Update a Broker-Dealer Firm Registration | FINRA.org
Many firms will, from time to time, seek to expand or change their business. However, broker-dealer firms must file a Form BD amendment and/or a Continuing...
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https://www.nortonrosefulbright.com/en-us/knowledge/publications/70f5f9f6/sec-staff-issues-broker-dealer-registration-guidance-for-digital-securities-user-interfaces
SEC staff issues broker-dealer registration guidance for digital securities user interfaces |...
This article considers the practical implications of the Guidance for those crypto asset trading interfaces that may seek to avail themselves of the relief...
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https://www.finra.org/about/firms-we-regulate/firms-we-regulate-a
Broker Dealer Firms We Regulate - A | FINRA.org
A. P. SECURITIES, INC.15 WATERVIEW DR, CENTERPORT, NY 11721Mailing Address: P. O. BOX 434, CENTERPORT, NY 11721A.BRIDGE REALVEST SECURITIES CORPORATION244...
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https://moneyconcepts.com/find
Find Independent Broker-Dealer Money Concepts
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https://www.fintrx.com/
Comprehensive RIA, Broker Dealer & Family Office Data | FINTRX
AI-powered RIA database with comprehensive data, analytics, and insights on registered investment advisors and family offices.
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https://www.cbtnews.com/broker-blockade-industry-crackdown/
Broker blockade: Lawmakers crack down on dealer compliance
Apr 21, 2026 - Broker activity faces rising scrutiny as states and OEMs tighten enforcement, increasing compliance risk and reshaping dealer operations.
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https://imsyachts.com/
IMS Yachts - Broker and Dealer in Fort Lauderdale, Miami and Puerto Rico
Broker and Dealer in Fort Lauderdale, Miami and Puerto Rico
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https://dfpi.ca.gov/regulated-industries/broker-dealers-and-investment-advisers/about-broker-dealers-and-broker-dealer-agents/
About Broker-Dealers and Broker Dealer Agents - DFPI
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https://www.boatsonline.com.au/boating-tips/why-use-a-boat-dealer-or-broker/
Why Use A Boat Dealer Or Broker? | BoatsOnline
Why Use A Boat Dealer Or Broker?
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