The U.S. Securities and Exchange Commission’s Division of Trading and Markets has finally answered a question that has hovered over independent broker-dealers for years: when can a registered ...

The Qualified Special Representative Agreement (QSR) lets broker-dealers clear trades directly with the NSCC, bypassing Nasdaq ACT, for simpler and cost-effective processing.

EB5 Investors Magazine selected Vivek Tandon among the Top 5 Broker-Dealers for 2025, based on industry standing and due diligence practices. The award appears in the magazine’s latest edition, ...

Explore the full scope of the survey results, download the report. Sponsored by Kestra Financial Read the findings of our latest study, sponsored by Kestra Financial, that asked financial ...