Brokerage Alpine Securities Corp. lost its bid to challenge National Securities Clearing Corp.'s disciplinary power and refined “excess net capital” requirements, a federal judge ruled.

Fixed Income Clearing Corporation (FICC), a subsidiary of the Depository Trust & Clearing Corporation (DTCC), has launched an ...

Jens Quiram, global co-head of FIC derivatives and repo sales at Eurex, sits down with their first live Nordic OTC clearing broker, Danske Bank’s chief sales manager for investor services sales and ...

Cash sweep programs have turned into a bit of a viper’s nest for the financial advice industry, particularly large ...

Equitable uses LPL Financial as its clearing broker-dealer, but the two are not affiliated. You can join the team as a new advisor, an experienced professional or manager. Net revenue in 2021 ...

According to the 2022 complaint, Cambridge’s RIA had since 2014 put clients in “no-transaction fee” mutual funds and money market cash sweeps that juiced revenue for the broker-dealer from clearing ...

The main firm responsible for clearing US stock trades plans to extend its hours of operation to support the growing interest ...