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 ...

Cube will also offer industry leading issuer services, which include price stabilization for new ADX IPOs, an offering pioneered by xCube in the UAE ...

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

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 ...