broker-dealer

listen to the pronunciation of broker-dealer
İngilizce - İngilizce
a financial specialist who trades for his own account and so acts both as a broker and principal
A securities firm that sells mutual funds or other securities to the public The broker-dealer is responsible for oversight of their affiliated brokers
A business entity licensed and registered with the Securities and Exchange Commission (SEC) and therefore possessing the legal right to offer securities products to the public An agent selling variable life products and related securities (such as mutual funds) must be registered with a broker-dealer
A Broker-Dealer is a person or company in the business of both buying and selling securities Also called an Agent when buying securities and a Principal when selling them, a may act as wither but not in the same transaction Broker-Dealers must register with the Securities and Exchange Commission as well as with states in which they do business
A firm that provides information or advice to its customers regarding the sale and/or purchase of securities and that serves as a financial intermediary between buyers and sellers by manufacturing or acquiring securities in order to market them to its customers
A securities firm that is acting as either a broker and/or a dealer Most securities firms act in both capacities
Firms that act as securities dealers or brokers, or perform both functions A broker is an individual or firm who acts as an intermediary between a buyer and seller, usually charging a commission A dealer is any person or company in the business of buying and selling securities for his or her own account, through a broker or otherwise
A broker is a person, firm, or other entity that buys and sells securities as an agent for its customers A dealer is a person, firm, or other entity that engages in the business of buying and selling securities for its own account Not all brokers are necessarily dealers, and vice versa, but NASD members are commonly both
Any person, other than a bank, engaged in the business of buying or selling securities on its own behalf or for others [FRBC][FRBM][FRBSF] (see also securities)
Broker-dealers engage in the business of effecting transactions in securities for the account of investors Some broker-dealers also sell securities or buy securities from investors for the firm's own account
A securities firm that is licensed to sell securities to the public Such firm can act of behalf of its clients to purchase or sell securities and can charge commission for those services
One who functions as both a broker and a dealer Most stock brokerages are broker-dealers See "Broker" and "Dealer "
Any person, other than a bank, engaged in the business of buying or selling securities on her or his own behalf for others
A firm or individual acting as both a principal and an agent A Broker acts on behalf of the client searching for the best deal in the market place A Dealer acts on behalf of itself in making the market The dealer actually buys and sells and maintains inventories of securities A Broker carries out the transaction but does not take possession of the security or maintain inventories