broker-dealer
3
6.1
- noun
- /ˈbroʊkər ˈdiːlər/
- Specialized
:
agente de bolsa
- So that means any broker dealer must register with the SEC.
- broker-dealers and investment advisers
- broker-dealers and investment
- broker-dealers, pension funds
In order to actually trade an ETF, the trading must be done through a broker dealer.
- In order to actually trade an ETF, the trading must be done through a broker dealer.
- Now, it's worth noting that NASDAQ had stipulated that licensed broker dealers could not use the system to trade on their own behalf.
- Well, FINRA has made it so expensive to be a broker dealer and to service the small customer that nobody will leave and work with them.
Examples
-
She recently accepted a position at a young broker-dealer firm that focuses on emerging markets.
-
Neither the named representative nor the named broker-dealer gives tax or legal advice.
Blog text (20) -
We are not registered investment advisers, broker-dealers, or members of any financial regulatory bodies.
Blog text (25) -
MicroVentures was the first Internet broker/dealer to help startups in the U.S. raise capital in exchange for equity.
Blog text (2) -
Normally, a client's collateral would be unfrozen soon after the bankruptcy of a broker-dealer.
Blog text (4) -
Now, it's worth noting that NASDAQ had stipulated that licensed broker dealers could not use the system to trade on their own behalf.
-
To be sure, brokerage firms are subject to extensive regulation in their own right, in their capacities as "broker-dealers" under the securities laws.
Academic text (2018) -
The Reform Act empowered the SEC to seek fines in administrative proceedings against entities and individuals registered with the SEC, including broker-dealers, investment advisers, and firms that registered securities with the agency.
Academic text (2017) -
As a broker-dealer, he facilitates transactions for clients while also trading on his own behalf.
-
The new regulations require every broker-dealer to provide clear information about their fees to clients.
How Senior
Surface Forms
Morphology
Etymology
Broker-dealer combines broker, originally a 'go-between' who arranges trades for other people, and dealer, from the common word deal meaning 'to trade'. So a broker-dealer both arranges trades for clients and also trades for itself.