Tagged: broker-dealer

March 12, 2023 @ 4:10 pm By Omar Faridi  |  

Capitolis, the technology company reimagining financial markets, announced that its subsidiary, Capitolis Global Broker Dealer LLC, has applied “to become a broker-dealer.” This is the next step in Capitolis’ journey “to provide innovative solutions to the market in order to keep the capital markets both… Read More

December 22, 2022 @ 10:07 pm By Omar Faridi  |  

The INX Digital Company, Inc. (NEO: INXD), a broker-dealer and inter-dealer broker – offering the first-ever SEC-regulated digital asset trading platform for both cryptocurrencies and security tokens, announced that it has officially entered into a strategic partnership with SICPA, which claims to be a global… Read More

September 8, 2022 @ 11:43 am By JD Alois  |  

Dalmore Group is a regulated broker-dealer that is very active in the securities crowdfunding sector, helping firms raise money using Reg A+ (Regulation A), Reg CF, as well as Reg D. Dalmore not only enables funding via exempt securities offerings but it also provides secondary… Read More

April 28, 2022 @ 3:52 pm By JD Alois  |  

    A couple of weeks back, CI held a webinar with two investment platforms, Rialto Markets and Republic,  which both sell securities online. The topic of discussion was deal quality and the different types of securities issuers pitch when pursuing an investment crowdfunding offering…. Read More

February 21, 2022 @ 8:54 pm By Omar Faridi  |  

Private securities market pioneers, Rialto Markets and Zanbato, have entered into a new partnership in order to address the requirements of a fast-evolving investor sector. Zanbato’s Alternative Trading System, ZX, reportedly supports some of the world’s largest membership of banking institutions, brokers and their wealth… Read More

September 22, 2021 @ 10:36 am By JD Alois  |  

MicroVentures is a broker-dealer that raises capital under the various crowdfunding exemptions including Reg CF+, Reg D, and Reg A+. An early entrant into the sector, MicroVentures got its start catering to accredited investors but expanded its portfolio of services following the enactment of the… Read More

June 29, 2021 @ 2:41 pm By Tony Zerucha  |  

The Securities and Exchange Commission (SEC) today announced JPMorgan Chase & Co. (NYSE:JPM) subsidiary Neovest, Inc. has agreed to pay a $2.75 million fine for failing to register as a broker-dealer in violation of federal securities laws. This is the first time the agency has… Read More

May 17, 2021 @ 3:09 pm By Samantha Hurst  |  

    Mogo Inc. (NASDAQ: MOGO) (TSX: MOGO) a Canada-based digital payments and financial technology company, announced on Monday it is set to acquire Fortification Capital Inc., a Canadian registered investment dealer. According to Mogo, the acquisition will bring order execution only (OEO) registration capabilities, which… Read More

March 31, 2021 @ 9:55 am By Samantha Hurst  |  

  Uphold, a U.S.-based digital finance platform, announced on Wednesday it is set to acquire U.S. broker-dealer JNK Securities following regulatory approval from the Financial Industry Regulatory Authority (FINRA).  Founded in 1993, JNK Securities is an execution-only trading firm with direct market access to the listed… Read More

January 8, 2021 @ 8:14 am By Samantha Hurst  |  

Netshares Financial Services, a U.S.-based digital investment bank and regulation crowdfunding (Reg CF) platform, announced earlier this week that the Financial Industry Regulatory Authority (FINRA) has approved its New Membership Application to commence operations as a registered broker-dealer. Netshares revealed that it will bring offering… Read More

October 29, 2020 @ 11:00 am By JD Alois  |  

This past Tuesday, INX Limited announced that it has agreed to acquire Openfinance, a FINRA regulated broker-dealer and alternative trading system (ATS) in the digital security market. INX Limited is a Fintech with a vision of redefining the world of regulated security tokens and crypto… Read More

October 27, 2020 @ 11:33 am By JD Alois  |  

Openfinance has been acquired by INX Limited, a company that is seeking to build a digital asset issuance and trading platform that is in the midst of a registered token offering. INX filed a form F-1 registration statement with SEC in 2019 which was subsequently… Read More

October 15, 2020 @ 9:04 am By JD Alois  |  

Securitize, an early-stage firm that facilitates the issuance and management of digital assets, has signed an agreement to acquire Distributed Technology Markets (DTM), an SEC/FINRA registered Broker-Dealer and Alternative Trading System (ATS). The move by Securitize is strategically important as it will be able to… Read More

May 27, 2020 @ 10:29 pm By Samantha Hurst  |  

Siebert, a national broker-dealer and provider of financial services, announced on Wednesday it has appointed InvestCloud to design and implement its complete digital transformation. Siebert reported that through the partnership it will implement InvestCloud’s full suite of applications, ranging from intuitive client-facing portals and mobile… Read More

January 17, 2020 @ 12:10 am By Samantha Hurst  |  

Voyager Digital Ltd. (CSE: VYGR) (OTC Pink: VYGVF) (FRA: UCD2) announced earlier this week it has completed its acquisition of VYGR Digital Securities, LLC. Voyager Digital reported that the acquisition cements its position as a broker-dealer on the Voyager Platform, which was claimed to be… Read More

December 24, 2019 @ 7:35 am By Omar Faridi  |  

US-headquartered digital asset brokerage firm BitOoda has acquired $7 million in capital from several large investors including a former senior investment executive at JPMorgan, the world’s sixth-largest bank. Established in 2017, BitOoda is an established crypto-asset financial services provider that aims to leverage applied science… Read More

November 12, 2019 @ 7:05 pm By JD Alois  |  

BnkToTheFuture alongside Coinstreet Partners has invested in US Broker-Dealer BMI Capital, according to a company release. Terms of the investment were not disclosed. BnkToTheFuture said it plans to bring security tokens to institutional investors in both the US and Asia facilitated by the BMI Capital…. Read More

November 1, 2019 @ 12:07 pm By JD Alois  |  

Harbor has received regulatory approval to operate an SEC-registered transfer agent, according to a company release. Habor recently received approval to receive a Broker-Dealer License from FINRA. The approval will help expand Harbor’s digital securities services including Reg A+, alternative assets and other traditional capital… Read More

October 31, 2019 @ 9:49 am By JD Alois  |  

FINRA regulated Broker-Dealer Watchdog Capital believes in the future of blockchain-powered digital securities. Watchdog in a release said distributed ledger technology will soon “transform global capital markets.” The firm says that rather than fight the rising digital tied it plans to build a platform that… Read More

July 26, 2019 @ 12:00 pm By JD Alois  |  

Crowdfunding Platform Tops $100 Million in Funding StartEngine, one of the largest crowdfunding platforms in the US, has been approved as a broker-dealer. Following 18 months of working with regulators, Broker-Dealer StartEngine Primary, is now a wholly-owned subsidiary of StartEngine Crowdfunding Inc. and is registered… Read More