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.

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

The world's biggest banks have launched an urgent global review of how clearing houses manage defaults after the collapse of a futures broker in South Korea left many banks shouldering far more than ...

This article explores the differences in security, asset custody, and the vulnerabilities that make crypto exchanges prime ...

In November, Wells Fargo said it had hired another Apex Clearing executive, George Tamer, to a senior role at its RIA ...

The Depository Trust & Clearing Corporation (DTCC), the premier post-trade market infrastructure for the global financial ...

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

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 SEC has dismissed enforcement actions against Kraken, Consensys, and Cumberland, signaling a major shift in its crypto ...

The US Senate's vote to overturn an IRS rule targeting DeFi platforms could soon become law, boosting innovation in the sector.