define broker-dealer - EAS
- https://www.investopedia.com/terms/b/broker-dealer.asp
A broker-dealer (B-D) is a person or firm in the business of buying and selling securit…
A brokerage acts as a broker (or agent) when it executes orders on behalf of its …
A broker-dealer is a financial entity that is engaged with trading securities on behalf …
A broker-dealer is acting as a broker or agent when it executes orders o… See moreBroker-dealers fulfill several important fu…
A wirehouse, or a firm that sells its o…
An independent broker-dealer, or a firm t…
There are over 3,975 broker-dealer… See moreExplore further
Broker-Dealer: What Is It? - The Balance
https://www.thebalancemoney.com/what-is-a-broker-dealer-4067290Apr 25, 2022 · A broker-dealer is an individual or a firm that's in the business of buying and selling securities. They can act as either agents or dealers. As an agent, a broker-dealer …
- More about broker-dealerbro·ker-deal·er✕PlayNOUNbroker-dealer (noun) · broker-dealers (plural noun)
- a brokerage firm that buys and sells securities on its own account as a principal before selling the securities to customers.synonyms:dealer · agent · negotiator · trafficker · middleman · intermediary · mediator · factor · trustee · liaison · representative · go-between · stockbroker · insurance broker · interdealer broker · scrivener
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Broker-Dealer Explained | U.S. News
https://money.usnews.com/investing/term/broker-dealerFeb 14, 2022 · A broker-dealer is a financial firm that buys and sells investments for its customers as a broker, trades investments in its own account as a dealer, or does both. …
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- https://capital.com/broker-dealer-definition
The term broker-dealer is often used to define a stock brokerage, because the majority of them operate as agents selling or buying securities. Executing orders on behalf of its …
- https://en.wikipedia.org/wiki/Broker-dealer
See: Securities regulation in the United States
In the United States, broker-dealers are regulated under the Securities Exchange Act of 1934 by the Securities and Exchange Commission (SEC), a unit of the U.S. government. All brokers and dealers that are registered with the SEC (pursuant to 15 U.S.C. § 78o), with a number of exceptions, are required to be members of the Securities Investor Protection Corporation (SIPC) …Wikipedia · Text under CC-BY-SA license- Estimated Reading Time: 6 mins
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- https://www.sec.gov/divisions/marketreg/mrbdealers
Oct 12, 2017 · Broker-Dealers. The Securities Exchange Act of 1934 ("Exchange Act" or "Act") governs the way in which the nation's securities markets and its brokers and dealers operate. …
- https://www.insuranceopedia.com/definition/1040
Oct 18, 2017 · What Does Broker/Dealer Mean? A broker/dealer is a company that both brings insurance buyers and sellers together and also works with insurance companies to manage …
- https://www.sec.gov/reportspubs/investor...
The definition of "dealer" does not include a "trader," that is, a person who buys and sells securities for his or her own account, either individually or in a fiduciary capacity, but not as …
- https://www.dictionary.com/browse/broker-dealer
A bill and note broker who does not disclose the principal's name is liable like other agents as a principal. Putnam's Handy Law Book for the Layman | Albert Sidney Bolles SEE MORE …
- https://www.davispolk.com/sites/default/files/whats_a_broker_dealer_2.pdf
broker-dealers who traded exclusively on national securities exchanges. As a result, various classes of exchange members, such as specialists, floor traders, and so-called $2 brokers, all …
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