Nomura Financial Products Europe GmbH United States [edit] In the United States, a primary dealer is a bank or securities broker-dealer that is permitted to trade directly with the Federal...
In financial services, a broker-dealer is a natural person, company or other organization... [5] When acting on behalf of customers, broker-dealers have a duty to obtain "best execution" of...
For broker dealers and their affiliates, fast-moving markets and stringent regulations are a fact of life. Robust, comprehensive compliance strategies are essential to regulatory compliance, risk m...
Here are the best online brokerage accounts and trading platforms with low costs and fees plus the best trading experience, mobile apps, and more.
[11] Edward Jones is another large broker-dealer, and in 2017 stopped selling commission-based funds in response to a best interest fiduciary rule by the Department of Labor (DOL). [12] As...
Regulation Best Interest (BI) is a federal rule that requires broker-dealers of financial services to recommend only products that are in their customers' best interests.
등록일: 오후 3:06:47 | Exciting opportunity for a Compliance Officer to join a strong broker-dealer headquartered here in… - 비슷한 채용공고 더 보기
1 January 30, 2023 Observations from Broker-Dealer Examinations Related to Regulation Best Interest* I. Introduction Regulation Best Interest established a new, enhanced standard of conduct...
Regulation Best Interest enhances the broker-dealer standard of conduct beyond existing suitability obligations, and aligns the standard of conduct with retail customers' reasonable...
An inter-dealer broker is a financial intermediary aiding with transactions between financial institutions in markets without formal exchanges.