For broker dealers who were dreading the full implementation of the Fixed Income Quotation rule, SEC rule 15c2-11, staff once ...

A mortgage broker is typically compensated 1% to 2% of a mortgage. This fee is paid by either the borrower or the lender but not both. The salary of a mortgage broker depends on their location and ...

Currently Managing Director of Motley Fool Money, Brendan has worked full-time for The Motley Fool since 2011. He has written hundreds of articles for The Motley Fool and provided analysis on TV ...

The revived brand will not budge on demands to let VW dealers sell its vehicles. Interested customers can reserve a Scout Terra or Traveler with a $100 deposit. Scout has vowed to defend itself ...

On January 13, the SEC published to the Federal Register a final amendments to Rule 15c3-3 – the Broker-Dealer Customer Protection Rule – to require daily reserve calculations for certain ...

Ford terminated more than 50 retail dealers in January as part of its restructuring of the network. All but three of the dealers have retained their authorised repairer status, Ford told Motor Trader.

This analysis is by Bloomberg Intelligence Senior Government Analyst Nathan R Dean. It appeared first on the Bloomberg Terminal. President-elect Donald Trump’s victory — along with his ...

Two brokerage units of investment firm Robinhood Markets have agreed to pay $45 million in combined civil penalties to settle a range of SEC violations arising from their brokerage operations ...

Cooper is also charged with “breaching his duty of confidentiality to his broker-dealer and misappropriating the information when he improperly disclosed it to Lowe, Ringel and others with ...

Robinhood, a disruptive force in the market for Main Street investors but also a serial offender of securities laws, will pay a total of $45 million to settle numerous violations of SEC rules and ...

The Securities and Exchange Commission has announced multi-million dollar penalties for investment advisors and broker dealers, mostly resulting from record-keeping failures. A combined $63.1 ...

Freeman & Vannauker LLC, based in Freehold, New Jersey, and run by partners Brian Freeman and Mark Vannauker, is moving its RIA and broker-dealer accounts to World Investments, part of World ...