The term broker-dealer is used in U.S. securities regulation parlance to describe stock brokerages because most of them act as both agents and principals.
[1] Although many broker-dealers are "independent" firms solely involved in broker-dealer services, many others are business units or subsidiaries of commercial banks, investment banks or...
"Top 15 Broker-Dealer Firms in 2018". Investopedia. ^ Harper, Douglas. "broker". Online Etymology Dictionary. Retrieved 2010-04-10. Further reading [edit] Ronald S. Burt. 2004. "Structural...
securities broker-dealer that is permitted to trade directly with the Federal Reserve System ("the Fed"). [7] Such firms are required to make bids or offers when the Fed conducts open...
FINRA Regulates Broker-Dealers, Capital Acquisition Brokers and Funding Portals. A Broker-Dealer is in the business of buying or selling securities on behalf of its customers or its own account or...
Pursuant to Minnesota Statutes §§ 80A.56 and 80A.57, it is unlawful for a person to transact business in Minnesota as a broker-dealer or agent unless the person is registered or exempt from registr...
기존 시스템과 새로운 시스템, 새로운 규제 환경, 분산된 업무 흐름을 포함하여 셀사이드 기관에 영향을 주는 변화는 복잡하고 끝이 없습니다. 그러나 이러한 변화들이 셀사이드 기관들에게 방해가 될 필요는 없습니다. 블룸버그는 셀사이드 기관의 니즈와 관련된 자문을 제공하고 확장가능하면서도 적절한 솔루션을 제공하기 위해 블룸버그 고유의 금융 및 전문지식을 활용합니다. 블룸버그는 끊임없이 변화하는 ...
A dealer is a person or firm who buys and sells securities for their own account, whether through a broker or otherwise.
All you need to know about broker-dealers and how they function.
Launching your own broker-dealer firm is a lot of work. However, the potential payoff can be great, both personally and financially.