Fund sponsors often engage investment banking or placement firms to help raise capital or generate deal flow for their funds. In exchange, the sponsor may offer a cash fee, a piece of the sponsor’s ...

The narrower M&A broker exemption supersedes the 2014 M&A broker no-action letter while leaving state-level restrictions and foreign M&A broker relief unaffected. On March 29, 2023, the Securities ...

NEW YORK, April 17, 2025 /PRNewswire/ -- Hidden Road, the global credit network for institutions, today announced that its wholly-owned subsidiary, Hidden Road Partners CIV US LLC, has secured ...

A crypto startup said it has received the first special purpose broker-dealer license under Securities and Exchange Commission guidelines that would allow it to custody digital assets securities. But ...

Netcapital announced recently that is pursuing a broker-dealer license in order to increase potential revenue generation. The company intends to expand service offerings to include Reg A+ and Reg D ...

Prime brokerage Hidden Road, which was recently acquired by Ripple for $1.25 billion, has secured a broker-dealer license from the Financial Industry Regulatory Authority (FINRA) — a move that ...

Percent, the innovative platform that has created the modern credit marketplace, announced its official status as a registered broker-dealer, “marking another milestone moment in the continued ...

Welcome to SEC Roundup, a bimonthly video series by former Securities and Exchange Commission senior trial counsels Nick Morgan and Tom Zaccaro, founders of the nonprofit advocacy group Investor ...

Dutch digital bank Bunq said Tuesday that it's applied for a broker-dealer license, in an initial step toward securing a full banking license. Bunq will be able to offer most of its services in the ...