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broker-dealer

Synonyms

Noun

1. principal

2. dealer

Usage
$5B broker-dealer NBC Securities has a new name after almost 30 years - InvestmentNews
Unregistered "Finders" (and Those Who Engage Them) Are Playing with Fire: What You Need to Know About Broker-Dealer Compliance - Baker Donelson
Wolfpack Announces FINRA Membership Approval for Broker-Dealer Subsidiary, Expanding Regulated Financial Infrastructure - Morningstar
SEC Staff Issues Statement on Broker-Dealer Registration for Cryptoasset Securities Interfaces - fintechanddigitalassets.com
SEC Staff Issues Broker-Dealer Registration Guidance for Certain User Interfaces - WilmerHale
SEC and FINRA Enforcement Trends for Broker-Dealers: 2026 Outlook - Morgan Lewis
Serving the Always-On Investor: A Payments Playbook for Broker-Dealers - Citigroup
Broker-Dealer Regulatory Pulse - Kroll
SEC staff issues statement on broker-dealer registration for crypto user interfaces - McDermott Will & Schulte
SEC Staff Clarifies Broker-Dealer Custody and Trading of Crypto Assets - Dechert
SEC staff issues broker-dealer registration guidance for digital securities user interfaces | United States | Global law firm - Norton Rose Fulbright
SEC Allows Broker-Dealers to Use Equities as Collateral - Forvis Mazars US
FINRA Expels Broker/Dealer for Excessive Churning - Wealth Management
OTC Markets Group Names Thomas Fasano Head of Broker-Dealer Sales - Yahoo Finance
AI fears dog broker-dealer shares in 2026. - InvestmentNews
WhatsApp Investment Groups Falsely Posing as a California-licensed Broker-dealer - The Department of Financial Protection and Innovation (.gov)
Ondo Finance Launches First-Ever Custodial Tokenized Securities in the U.S., Broadridge Partners to Integrate World Class Governance - Ondo Finance
Lawler, Gottheimer to Prohibit Firms Tied to the Chinese Communist Party From Registering With the SEC Under New Bill - Congressman Mike Lawler (.gov)
BREAKING: Osaic executives Kristy Britt and Greg Cornick to leave - InvestmentNews
New priorities for 2026 — What investment advisers and broker-dealers can expect - White & Case LLP
Managing broker-dealer compliance at scale - FinTech Global
Broker-Dealers: FINRA Looking Forward with Enforcement Enhancements - JD Supra
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
Unfinished Business: FINRA’s Proposed Rule 2210 Changes on Projections Fall Short of Marketing Rule Alignment - Morgan Lewis
Transaction-Based Compensation to Personal Services Entities: Not Registered, Not a Problem Says SEC Staff - Morgan Lewis
Raising the Limit: FINRA Amends Gift Rule (Rule 3220) - Skadden, Arps, Slate, Meagher & Flom LLP
$42B Lido Adds Broker/Dealer to Toolkit - Wealth Management
SEC Staff Statement on Crypto Trading Interfaces: Key Takeaways and Implications for Market Participants - Pillsbury Winthrop Shaw Pittman
FINRA Snapshot Shows B/D Consolidation Continues - Wealth Management
SEC Staff Clears Path for Certain Transaction‑Based Pay Structures - McGuireWoods
Clearing firm Axos to pay $49.2 million in lawsuit linked to failed broker-dealer. - InvestmentNews
FINRA Proposes Rule Change to Permit Projections of Performance and Targeted Returns in Member Communications - Ropes & Gray LLP
SEC Official Backs Formal Inspection Plan for Brokerage Auditors - news.bloombergtax.com
Every Broker-Dealer Tracks Completion, But Almost Nobody Tracks Readiness - Newswire.com
O’Melveny Adds Broker-Dealer Regulatory Partners James Burns And Brant Brown - Pulse 2.0
Broker-dealers are adopting an RIA consolidation playbook - InvestmentNews
Class action accuses EB-5 fund operator of unlawful broker-dealer activity - InvestmentNews
Broker-dealer ordered to turn over documents as Inspired Healthcare Capital goes through bankruptcy process - McKnight's Senior Living
GSR receives FINRA approval to complete broker-dealer acquisition - The Block
Deals & Moves: Savant Plants Flag In Maine, Cerity Expands to Oregon - Wealth Management
Cloud-based exchanges could change the value of a broker dealer - The DESK
Broker-Dealer Regulatory Pulse - Kroll
SEC Proposes to Narrow Exchange Act Rule 15c2-11 to Equity Securities Only - globalfinregblog.com
PCAOB: Broker-dealer audits improve - Accounting Today
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
SEC raises broker-dealer exemption threshold for Exchange Act risk assessment rules to $100 million - InvestmentNews
RBC's asset management arm targets broker-dealer growth with senior hires - SRP (Structured Retail Products)
AtlasClear Holdings Begins Onboarding of Third Correspondent Broker-Dealer and Executes Clearing Agreement with Fourth Correspondent Broker-Dealer Through Wilson-Davis - Yahoo Finance
Texas broker-dealer that sold, marketed REITs is shutting down. - InvestmentNews
STG Group launches new broker-dealer division - Securities Finance Times
Broker-Dealer Fined $750K Over Text Message Recordkeeping - Law360
OTC Markets Group Appoints Citi Veteran Thomas Fasano to Lead Broker-Dealer Sales - citybiz
Parvis Signs Binding Purchase Agreement to Acquire FavorPoint Capital, a U.S. FINRA-Registered Broker-Dealer, Expanding into American Private Markets - Yahoo Finance
Apex Group Opens U.S. Broker‑Dealer - Markets Media
FINRA Fines Broker-Dealer $600K For Off-Channel Violations - Law360
STG Group Launches Broker-Dealer - Markets Media
BREAKING: FinCEN fines broker-dealer Canaccord Genuity record $80m for BSA breaches - AML Intelligence
Bunq gets US broker-dealer license - Banking Dive
RPA Broker/Dealer Roundtable: Convergence and Plan Growth Take Center Stage - 401ktv.com
Lead broker-dealer of Inspired Healthcare deals ordered to turn over documents - InvestmentNews
Restitutions coming to Montana investors after broker-dealer settlements - NBC Montana
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
New York Broker-Dealer’s Business Model Hinged On Churning Client Accounts: Finra - AdvisorHub
LPL Financial: How Have Broker-Dealer Practices Evolved, and What’s Coming Next? - Morningstar
Cambridge acquires Dempsey Lord Smith as firm transitions away from broker-dealer operation - InvestmentNews
Record $80M fine for Canaccord Genuity LLC should serve as ‘wake-up call’ to broker-dealers, says FinCEN - InvestmentNews
SEC 2026 Examination Priorities – Advisers, Funds, & Broker-Dealers - Forvis Mazars US
Prometheum Capital Launches Digital Brokerage Solutions, Enabling Broker-Dealers to Offer Crypto Assets Through Traditional Brokerage Accounts - Business Wire
The SEC’s New Guidance on PSEs: What Broker-Dealers Need to Know - JD Supra
Northwestern Mutual Recognized as a Top Independent Broker-Dealer by Financial Advisor magazine - PR Newswire
FinCEN Hits Canaccord With Record $80M Broker-Dealer Fine - Law360
North Investments Secures FINRA Membership to Launch as Digital Asset Broker-Dealer - PR Newswire
$42bn Lido Advisors forms broker-dealer affiliate - Citywire
AstraBit Becomes a U.S. Broker-Dealer, One of the First Digital-Asset Firms to Be Granted FINRA Membership - Business Wire
Parvis Signs Binding Letter of Intent to Acquire FavorPoint Capital, a U.S. FINRA-Registered Broker-Dealer, Expanding into American Private Markets - TMX Newsfile
SEC Staff Issues Helpful Guidance on Custodying Digital Asset Securities and Complying with the Customer Protection Rule - The National Law Review
Pierson Wealth Management Breaks from Broker-Dealer Model to Launch Independent Firm with RFG Advisory - Business Wire
Finra Probes Broker-Dealers as Regulators Target Pump-and-Dumps - Bloomberg.com
MUFG Securities Americas, Inc. designated Primary Dealer by the Federal Reserve Bank of New York - PR Newswire
Fidelity wants clarity from SEC on rules for broker-dealers and crypto assets. - InvestmentNews
Dutch online bank Bunq gets US broker-dealer licence - Reuters
SEC Gives DeFi Front-Ends a Narrow Path Around Broker-Dealer Rules - The Defiant
Broker-Dealers: B-D Guidance on Increased Cybersecurity Risks Due to the COVID-19 Pandemic - McDermott Will & Schulte
FINRA Snapshot Shows Large Broker/Dealers Grew Market Share in 2025 - Yahoo Finance
FINRA last year continued its decline in regulatory actions against broker-dealers. - InvestmentNews
Broker-dealer group plans to ask SEC to exclude munis from 'asset-backed security' definition - Bond Buyer
SEC, ASA Settle FOIA Suit Over Broker-Dealer Investigations - Mealey's
CRC-Oyster Strengthens Broker-Dealer Applications Team Support Amid Increased Demand - Business Wire
Alpaca Enters India’s GIFT City Broker-Dealer Market through Zincmoney IFSC Acquisition - Business Wire
After pressure from GWG bond sales, St. Louis broker-dealer with 100 reps sells and closes doors - InvestmentNews
SEC allows broker-dealers to take 2% ‘haircut’ on stablecoins - TradingView
Share prices of retail broker-dealers positioned for a bounce, analysts say - InvestmentNews
Understanding How Broker Protocol Impacts Financial Advisors - SmartAsset.com
GSR Securities LLC Receives Broker-Dealer Approval From FINRA - TradingView
$230M advisor Ivy Pierson leaves broker-dealer channel to launch independent firm with RFG - InvestmentNews
Crypto Market Maker GSR Completes Broker-Dealer Acquisition - Markets Media
Court upholds permanent bans for broker-dealer in SEC shell fraud case - InvestmentNews
Foreign Language Equivalents
Foreign Language Equivalents of 'broker-dealer'
Language Equivalent   Language Equivalent
French    Spanish
Misspellings - Typos
broker-dealwr,   broker-dealet,   broker-ddealer,   broker-dealerr,   brokerdealer,   nroker-dealer,   broker-delaer,   broker-deaker,   broker-dealeer,   brpker-dealer,   brokerr-dealer,   broke-rdealer,   broker-desler,   brokerd-ealer,   broker-fealer,   broker-dealler,   broekr-dealer,   broket-dealer,   broker-dwaler,   brokker-dealer,   brroker-dealer,   broker-deaaler,   brokre-dealer,   brokeer-dealer,   broker-deealer,   beoker-dealer,   brkoer-dealer,   rboker-dealer,   bbroker-dealer,   roker-dealer,   broker-dealee,   btoker-dealer,   broker-deler,   vroker-dealer,   broker-dealr,   brokee-dealer,   broker-dea;er,   broker-sealer,   broker-deaer,   broker-daeler,   broer-dealer,   brker-dealer,   brokr-dealer,   brooker-dealer,   broker-daler,   broker-edaler,   brokor-dealor,   broke-dealer,   broker-draler,   brokrr-dealer,   broker-dealre,   briker-dealer,   broker-deaelr,   broker-dealrr,   broker-ealer,   brojer-dealer,   broker--dealer,   broker-deale,   borker-dealer,   brokwr-dealer,   boker-dealer,   broler-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
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