"Does reciprocal ‘favor trading’’ help liquidity or enable rent extraction?" asked Casey Dougal, associate professor in the Department of Finance at Florida State University’s College of Business. An ...

On January 13, a broker-dealer agreed to pay over $40 million to settle SEC charges that it failed to properly supervise its employees in the sale of mortgage-backed bonds. According to the SEC order, ...

US corporate bond inventory at US broker dealers is now at nine-year lows as the Volcker Rule and Basle III requirements loom. Inventories of US corporate bonds with more than one year to maturity are ...

Michael Decker, senior vice president for research and public policy at the Bond Dealers of America. The year 2025 has been "a good year" for municipal securities regulation – a representative of one ...

Over the last five years, auto and equipment dealers experienced a period of low inventory levels with high margins on the limited inventory they had for sale and lease. Used automotive and equipment ...

WisDOT revoked licenses of 35 auto dealers for selling directly to customers and other violations. Investigations and hearings were conducted, with most revocations finalized by early April. Dealers ...

Based in Rochester, New York, LifeMark Securities has faced scrutiny in the past for its sales of GWG L bonds, so-called because they were backed by life insurance policies. The Securities and ...

NEW YORK (Reuters) - The U.S. Treasury said on Friday it is seeking guidance from primary dealers on stablecoins as well as potential changes to the 20-year bond auction schedule, including possibly ...