GeneralConnection.com ➔ Dictionary
Dictionary Search

broker-dealer

Synonyms

Noun

1. principal

2. dealer

Usage
Concorde Names Marc Morell Chief Compliance Officer - Business Wire
Siebert Expands Into Tokenized Securities Through tZERO's End-to-End Digital Markets Infrastructure - TradingView
Unregistered "Finders" (and Those Who Engage Them) Are Playing with Fire: What You Need to Know About Broker-Dealer Compliance - Baker Donelson
SEC Staff Issues Statement on Broker-Dealer Registration for Cryptoasset Securities Interfaces - fintechanddigitalassets.com
Streamex Corp. Brings Yield-Bearing Gold (GLDY) to Traditional Brokerage Accounts Through Collaboration with Siebert Financial and tZERO - The Manila Times
Binah Capital Group Eyes Broker/Dealer Acquisitions - Wealth Management
SEC Staff Issues Broker-Dealer Registration Guidance for Certain User Interfaces - WilmerHale
Serving the Always-On Investor: A Payments Playbook for Broker-Dealers - Citigroup
Every Broker-Dealer Tracks Completion, But Almost Nobody Tracks Readiness - Newswire.com
SEC and FINRA Enforcement Trends for Broker-Dealers: 2026 Outlook - Morgan Lewis
SEC Staff Clarifies Broker-Dealer Custody and Trading of Crypto Assets - Dechert
SEC staff issues statement on broker-dealer registration for crypto user interfaces - McDermott Will & Schulte
Broker-Dealer Regulatory Pulse - Kroll
OTC Markets Group Names Thomas Fasano Head of Broker-Dealer Sales - Yahoo Finance
SEC Allows Broker-Dealers to Use Equities as Collateral - Forvis Mazars US
SEC staff issues broker-dealer registration guidance for digital securities user interfaces | United States | Global law firm - Norton Rose Fulbright
WhatsApp Investment Groups Falsely Posing as a California-licensed Broker-dealer - The Department of Financial Protection and Innovation (.gov)
Lawler, Gottheimer to Prohibit Firms Tied to the Chinese Communist Party From Registering With the SEC Under New Bill - Congressman Mike Lawler (.gov)
FINRA Expels Broker/Dealer for Excessive Churning - Wealth Management
PCAOB NEWS AND SPEECHES—PCAOB sees decrease in deficiencies in broker-dealer compliance reports - VitalLaw.com
FINRA Snapshot Shows B/D Consolidation Continues - Wealth Management
SEC Staff Provides Relief for Crypto Wallet Interfaces - Dechert
New priorities for 2026 — What investment advisers and broker-dealers can expect - White & Case LLP
SEC Extends Compliance Dates for Broker-Dealer Reporting - Crowe
IRS Releases Proposed Regulations to Modernize Broker-Dealer Payee Statements Regarding Digital Asset Sales - Buchanan Ingersoll & Rooney PC
SEC Staff Provides Clarity on the Custody of Cryptoasset Securities - fintechanddigitalassets.com
Transaction-Based Compensation to Personal Services Entities: Not Registered, Not a Problem Says SEC Staff - Morgan Lewis
Unfinished Business: FINRA’s Proposed Rule 2210 Changes on Projections Fall Short of Marketing Rule Alignment - Morgan Lewis
Raising the Limit: FINRA Amends Gift Rule (Rule 3220) - Skadden, Arps, Slate, Meagher & Flom LLP
SEC Staff Statement on Crypto Trading Interfaces: Key Takeaways and Implications for Market Participants - Pillsbury Winthrop Shaw Pittman
O’Melveny Adds Broker-Dealer Regulatory Partners James Burns And Brant Brown - Pulse 2.0
SEC Staff Clears Path for Certain Transaction‑Based Pay Structures - McGuireWoods
PCAOB: Broker-dealer audits improve - Accounting Today
$42B Lido Adds Broker/Dealer to Toolkit - Wealth Management
Broker-dealer group expresses support for MSRB gift rule proposal in letter to SEC - Bond Buyer
Broker-dealer ordered to turn over documents as Inspired Healthcare Capital goes through bankruptcy process - McKnight's Senior Living
Cloud-based exchanges could change the value of a broker dealer - fi-desk.com
FINRA Proposes Rule Change to Permit Projections of Performance and Targeted Returns in Member Communications - Ropes & Gray LLP
OTC Markets Group Appoints Citi Veteran Thomas Fasano to Lead Broker-Dealer Sales - citybiz
Broker-Dealer Regulatory Pulse - Kroll
BROKER-DEALERS—SEC staff give Robinhood the go-ahead to manage initial roll-out of Trump Accounts - VitalLaw.com
The Role of Wirehouses and Independent Broker-Dealers in U.S. Wealth Management - dakota.com
Parvis Signs Binding Purchase Agreement to Acquire FavorPoint Capital, a U.S. FINRA-Registered Broker-Dealer, Expanding into American Private Markets - Yahoo Finance
STG Group Launches Broker-Dealer - Markets Media
GSR receives FINRA approval to complete broker-dealer acquisition - The Block
Texas broker-dealer that sold, marketed REITs is shutting down. - InvestmentNews
Restitutions coming to Montana investors after broker-dealer settlements - NBC Montana
Apex Group Opens U.S. Broker‑Dealer - Markets Media
FINRA Fines Broker-Dealer $600K For Off-Channel Violations - Law360
RPA Broker/Dealer Roundtable: Convergence and Plan Growth Take Center Stage - 401ktv.com
Class action accuses EB-5 fund operator of unlawful broker-dealer activity - InvestmentNews
Broker-Dealer Fined $750K Over Text Message Recordkeeping - Law360
SEC raises broker-dealer exemption threshold for Exchange Act risk assessment rules to $100 million - InvestmentNews
New York Broker-Dealer’s Business Model Hinged On Churning Client Accounts: Finra - AdvisorHub
AG Davenport, Bureau of Securities Announce Consent Order With NJ Broker-Dealer That Failed to Maintain Programs to Prevent Money Laundering and Other Misconduct - Insider NJ
LPL Financial: How Have Broker-Dealer Practices Evolved, and What’s Coming Next? - Morningstar
BREAKING: FinCEN fines broker-dealer Canaccord Genuity record $80m for BSA breaches - AML Intelligence
Lead broker-dealer of Inspired Healthcare deals ordered to turn over documents - InvestmentNews
AtlasClear Holdings Begins Onboarding of Third Correspondent Broker-Dealer and Executes Clearing Agreement with Fourth Correspondent Broker-Dealer Through Wilson-Davis - Yahoo Finance
11 Best & Worst Broker-Dealers: Q4 2025 - ThinkAdvisor
SEC 2026 Examination Priorities – Advisers, Funds, & Broker-Dealers - Forvis Mazars US
The SEC’s New Guidance on PSEs: What Broker-Dealers Need to Know - JD Supra
$42bn Lido Advisors forms broker-dealer affiliate - Citywire
Bunq gets US broker-dealer license - Banking Dive
SEC Gives DeFi Front-Ends a Narrow Path Around Broker-Dealer Rules - thedefiant.io
AstraBit Becomes a U.S. Broker-Dealer, One of the First Digital-Asset Firms to Be Granted FINRA Membership - Business Wire
SEC Staff Issues Helpful Guidance on Custodying Digital Asset Securities and Complying with the Customer Protection Rule - The National Law Review
Finra Probes Broker-Dealers as Regulators Target Pump-and-Dumps - Bloomberg.com
Northwestern Mutual Recognized as a Top Independent Broker-Dealer by Financial Advisor magazine - PR Newswire
Prometheum Capital Launches Digital Brokerage Solutions, Enabling Broker-Dealers to Offer Crypto Assets Through Traditional Brokerage Accounts - Business Wire
MUFG Securities Americas, Inc. designated Primary Dealer by the Federal Reserve Bank of New York - PR Newswire
GSR Securities LLC Receives Broker-Dealer Approval From FINRA - TradingView
North Investments Secures FINRA Membership to Launch as Digital Asset Broker-Dealer - PR Newswire
Parvis Signs Binding Letter of Intent to Acquire FavorPoint Capital, a U.S. FINRA-Registered Broker-Dealer, Expanding into American Private Markets - TMX Newsfile
Cambridge acquires Dempsey Lord Smith as firm transitions away from broker-dealer operation - InvestmentNews
Crypto Market Maker GSR Completes Broker-Dealer Acquisition - Markets Media
Fidelity wants clarity from SEC on rules for broker-dealers and crypto assets. - InvestmentNews
Take Two: FINRA Revisits Proposal to Align Rule 2210 with the SEC Marketing Rule - Dechert
Record $80M fine for Canaccord Genuity LLC should serve as ‘wake-up call’ to broker-dealers, says FinCEN - InvestmentNews
GENIUS Act & Stablecoin Regulation FAQ: What Broker-Dealers and Banks Need to Know - Nasdaq
SEC, ASA Settle FOIA Suit Over Broker-Dealer Investigations - Mealey's
Dutch online bank Bunq gets US broker-dealer licence - Reuters
Pierson Wealth Management Breaks from Broker-Dealer Model to Launch Independent Firm with RFG Advisory - Business Wire
SEC allows broker-dealers to take 2% ‘haircut’ on stablecoins - TradingView
Understanding How Broker Protocol Impacts Financial Advisors - SmartAsset
Alpaca Enters India’s GIFT City Broker-Dealer Market through Zincmoney IFSC Acquisition - Business Wire
FINRA last year continued its decline in regulatory actions against broker-dealers. - InvestmentNews
RBC Global Asset Management Expands U.S. Distribution Team to Target Broker-Dealer Market - citybiz
CRC-Oyster Strengthens Broker-Dealer Applications Team Support Amid Increased Demand - Business Wire
US Audit Board Plans to Formalize Brokerage Inspections (1) - news.bloombergtax.com
$230M advisor Ivy Pierson leaves broker-dealer channel to launch independent firm with RFG - InvestmentNews
Share prices of retail broker-dealers positioned for a bounce, analysts say - InvestmentNews
Broker blockade: Lawmakers crack down on dealer compliance - CBT News
After pressure from GWG bond sales, St. Louis broker-dealer with 100 reps sells and closes doors - InvestmentNews
PCAOB releases new broker-dealer audit focus publication - theaccountant-online.com
SEC Exempts 'Crypto Interface Providers' from Broker-Dealer Registration - Yahoo Finance
Avrio Divests Its Broker-Dealer Arkonis And Transfer Agent BlockAgent To NANT Global Financial As A Cornerstone For Next-Gen Digital Public Markets Platform - Newswire.com
SEC Outlines Time-Limited Path Forward for Crypto User Interface Providers on Broker-Dealer Registration - The National Law Review
Independent broker-dealers outgrowing RIAs, captive BDs amid industry consolidation - InvestmentNews
SEC: wallets, DeFi interfaces aren’t broker-dealers even for tokenized securities - ledgerinsights.com
Foreign Language Equivalents
Foreign Language Equivalents of 'broker-dealer'
Language Equivalent   Language Equivalent
French    Spanish
Misspellings - Typos
broekr-dealer,   brker-dealer,   broke-rdealer,   broker-dealwr,   broker-delaer,   brokee-dealer,   brokker-dealer,   broker-edaler,   nroker-dealer,   broker-deaelr,   brokeer-dealer,   borker-dealer,   broker-deaer,   brokwr-dealer,   brooker-dealer,   broker-deler,   brroker-dealer,   broker-sealer,   broker-daeler,   brokrr-dealer,   broker-deale,   brokerd-ealer,   broker-dwaler,   broker-dealerr,   broker-dealee,   brpker-dealer,   broker-deaker,   broker--dealer,   vroker-dealer,   brokerdealer,   broker-dealeer,   rboker-dealer,   broker-fealer,   brkoer-dealer,   brokre-dealer,   broker-dea;er,   broker-daler,   broker-deaaler,   broker-dealrr,   broker-deealer,   broker-dealre,   broke-dealer,   btoker-dealer,   broer-dealer,   broker-dealet,   roker-dealer,   broker-dealr,   briker-dealer,   brokr-dealer,   brokerr-dealer,   broler-dealer,   broker-draler,   bbroker-dealer,   broker-desler,   brokor-dealor,   beoker-dealer,   broker-ddealer,   boker-dealer,   broker-dealler,   brojer-dealer,   broker-ealer,   broket-dealer
Words Starting with Letter - 'A'
a a battery a billion
a bit a bit much a capella singing
a cappella singing a couple of a few
a fortiori a good deal a great deal
a horizon a hundred a hundred and one
a hundred thousand a hundred times a kempis
a la carte a la mode a level
a little a lot a million
Go to Page 1              Go to Page 2 »   
A B C D E F G H I J K L M N O P Q R S T U V W X Y Z