https://arc-securities.com/
ARC Group Securities: U.S. Broker-Dealer With a Global Mindset
Jan 28, 2026 - ARC Group Securities LLC is a FINRA-registered broker-dealer. The firm specializes in providing comprehensive capital markets and investment banking services
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https://www.yacapital.com/?redirectUrl=/team/errol-antiz
Trusted Investment Broker Dealer | Young America Capital
Explore Young America Capital's specialized investment banking and advisory services for diverse industries worldwide.
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https://www.bdlawcorner.com/
Broker-Dealer Law Corner | UB Greensfelder
Broker - Dealer Law Corner provides insight on securities fraud, misrepresentation, unauthorized trading, violations of the SEC, and criminal violations.
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https://www.jonesday.com/en/practices/experience/2021/02/clearlist-llc-registers-as-brokerdealer-with-finra-and-files-as-ats-with-sec
ClearList LLC registers as broker-dealer with FINRA and files as ATS with SEC | Experience | Jones...
Jones Day advised ClearList Holdings LLC and its subsidiary, ClearList LLC, regarding the filing of ClearList LLC's new member application with the Financial...
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https://danielbourn.com/
Daniel Bourn | Vintage Watch Specialist | Advisor | Broker | Watch Dealer
Jul 21, 2025 - Daniel Bourn is a vintage watch specialist and dealer of rare vintage and pre-owned watches from leading Swiss watchmakers inc. Rolex, Patek Philippe, Breguet,...
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https://greenkeyllc.com/job/222652/director-broker-dealer-reporting-3/
Director Broker Dealer Reporting | Green Key Resources
Apr 30, 2026 - Overview Lead regulatory reporting for broker-dealer entities, ensuring compliance with FINRA, SEC, and CFTC regulations.Oversee FOCUS reporting, Net Capital,...
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https://josephstonecapital.com/?xegww/x1901769.html
Joseph Stone Capital, LLC - Full service broker dealer headquartered in New York
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https://form.jotform.com/230025876708055
Transitioning Your Broker Dealer is Easier Than You Think
Please click the link to complete this form.
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https://irei.com/news/arete-wealth-announces-managing-broker-dealer-partnership-with-golub-capital/
Arete Wealth announces managing broker-dealer partnership with Golub Capital | News | Institutional...
Arete Wealth has announced its capital markets division will provide managing broker-dealer services to credit asset manager Golub Capital.
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https://www.nanubhaiproperty.com/property-agent-details/broker-narang-property-in-new-delhi?cid=qwxYrjkK0XU=
Narang Property - Real Estate Broker - Property Dealer in New Delhi on NanuBhaiProperty.com
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https://natlawreview.com/article/regulation-best-interest-recommendations-broker-dealers-part-2-interesting-angles
SEC Broker-Dealer BICE
which investors will be protected by best interest standard of care if advice is given by broker-dealer or, alternatively, if advice is given by an RIA under...
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https://charltonsquantum.com/us-sec-and-finra-withdraw-2019-joint-statement-on-broker-dealer-custody-of-digital-asset-securities/
US SEC and FINRA Withdraw 2019 Joint Statement on Broker-Dealer Custody of Digital Asset...
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https://rialtomarkets.com/
Innovating Broker Dealer Solutions - Rialto Markets
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https://gregorylevinelaw.com/
Gregory Levine Law - Broker-Dealer & RIA and Legal Compliance
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https://harbourinv.com/
Harbour Investments - Midwest Broker Dealer & RIA
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https://www.ericfelsenfeldofficial.com/
Trusted Independent Broker Dealer & RIA | Eric Felsenfeld
Eric Felsenfeld is a top independent broker dealer and RIA, offering tailored financial services and investment strategies to clients and advisors nationwide
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https://securities-law-blog.com/2013/03/12/sec-issues-guidance-regarding-the-exemption-from-broker-dealer-registration-in-title-ii-of-the-jobs-act/
SEC Issues Guidance Regarding The Exemption From Broker-Dealer Registration In Title II Of The JOBS...
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https://cartyco.com/
Investment Broker/Dealer in Memphis | Carty, Harding & Hearn
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https://www.bossbonds.com/application/maine-investment-advisor-or-broker-dealer-bond
State of Maine Investment Advisor or Broker-Dealer Bond | Products | BOSS Bonds
The Maine Investment Advisor or Broker-Dealer Bond starts at $100 plus shipping costs and fees. Fill out the form to buy your bond instantly!
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https://pcaobus.org/news-events/news-releases/news-release-detail/pcaob-annual-report-on-2016-inspections-of-broker-dealer-auditors-shows-continued-high-level-of-audit-deficiencies_627
PCAOB Annual Report on 2016 Inspections of Broker-Dealer Auditors Shows Continued High Level of...
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https://www.ssctech.com/resources/form/simplifying-broker-dealer-processing-alternatives
Simplifying Broker-Dealer Processing for Alternatives
ALTSERVE gives broker-dealers the ability to compete and grow their alternative investment offering by simplifying broker-dealer processing.
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https://www.klgates.com/12-AML-Obligations-Every-BrokerDealer-Needs-to-Know-09-16-2016
12 AML Obligations Every Broker/Dealer Needs to Know | HUB | K&L Gates
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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.limra.com/en/events/webinars/2021/prohibited-transaction-exemption-2020-02-registered-broker-dealer-compliance-considerations/
Prohibited Transaction Exemption 2020-02: Registered Broker-Dealer Compliance Considerations
The Department of Labor's Prohibited Transaction Exemption 2020-02, called Improving Investment Advice for Workers and Retirees, expands the definition of...
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https://www.faegredrinker.com/en/services/experience/2016/1/brokerdealer-defends-alleged-unsuitable-reit-claims
Broker-Dealer Defends Alleged Unsuitable REIT Claims | Experience | Faegre Drinker Biddle & Reath...
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https://durovscode.com/3891
Binance wins license to provide crypto broker-dealer services in Dubai
Jul 31, 2023 - Binance has achieved a significant milestone in its relationship with regulators in the UAE.
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https://infobytes.orrick.com/2015-01-30/fincen-fines-ny-based-securities-broker-dealer-anti-money-laundering-shortfalls/
FinCEN Fines NY-Based Securities Broker-Dealer for Anti-Money Laundering Shortfalls
On January 27, FinCEN fined a New York securities broker-dealer firm $20 million for violating the BSA. According to the press release, the firm faile...
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https://www.bartandco.com/commonwealth-ria-broker-dealer-04919
Commonwealth, a Registered Investment Advisor-broker/dealer
Our partners, Commonwealth Financial Network, Registered Investment Adviser-broker/dealer, help independent advisors like us better serve you.
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https://www.dzinsights.com/blog/how-to-start-a-broker-dealer-a-complete-process
How to Start a Broker Dealer? A Complete Process
If you have the required capital to start your own company then it is better to be a broker dealer for your firm.
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https://ibdcconsulting.com/
Home - Independent Broker Dealer Consortium
The IBDC provides Independent Broker Dealers and Registered Investment Advisors access to a community of professionals with demonstrated expertise...
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https://fcslbd.com/
First Capital Securities Limited-Stock Broker | Stock Dealer
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https://www.benefitspro.com/2014/01/31/senate-passes-national-broker-dealer-license-bill
Senate passes national broker-dealer license bill
The National Association of Registered Agents and Brokers Reform Act of 2014 would allow agents like broker-dealers to operate in many states without having to...
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https://www.britehorn.com/
Britehorn | Investment Bank & Broker-Dealer
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https://www.tn.gov/commerce/securities/industry-professionals/investment-adviser-broker-dealer-check.html
Investment Adviser/Broker Dealer Check
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https://montereycarcompany.com/
Monterey Car Company - Auto Broker, Car Dealer, Car Buying Services
Have you worked with an Auto Broker? Serving Monterey County for over 16 years in Automotive Sales. Car buying can be stressful and time consuming. The unknows...
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https://jobs.accel.com/companies/drivewealth/jobs/70080694-senior-treasury-associate-broker-dealer-liquidity
Senior Treasury Associate - Broker Dealer Liquidity @ DriveWealth | Accel Job Board
Search job openings across the Accel network.
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https://www.arenssecurities.com/
Arens Securities | Finra & SIPC member broker-dealer.
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https://t3technologyhub.com/tag/independent-broker-dealer/
independent broker/dealer | t3 Technology Hub
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https://www.clearygottlieb.com/news-and-insights/events-listing/fundamentals-of-broker-dealer-regulation-2023
Fundamentals of Broker-Dealer Regulation 2023 | Cleary Gottlieb
Fundamentals of Broker-Dealer Regulation 2023
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