Broker-dealer

In financial services, a broker-dealer is a natural person, company or other organization that engages in the business of trading securities for its own account or on behalf of its customers. Broker-dealers are at the heart of the securities and derivatives trading process. Although many b...

iShares U.S. Broker-Dealers & Securities Exchanges ETF | IAI ETF - Investing.com

iShares U.S. Broker-Dealers & Securities Exchanges ETF에 대한 실시간 가격을 확인해 보세요. 또한 IAI ETF의 가격, 기술적 분석, 과거 데이터 등 iShares U.S. Broker-Dealers & Securities Exchanges의 상세한 정보를 확인해 보세요.

What is a broker-dealer?

own securities, would that make it a broker-dealer? Issuer A company issuing its own securities, sometimes called an issuer, generally is not acting as a broker because it is selling...

SEC.gov | SEC Charges Kraken for Operating as an Unregistered Securities Exchange, Broker, Dealer, and Cl....

Through its platform’s services, Kraken allegedly: Provides a marketplace that brings together the orders for securities of multiple buyers and sellers using established, non-discretionary methods under which such orders interact, and thus operates as an exchange; Engages in the business of effecting securities transactions for the accounts of Kraken customers, and thus operates as a broker; Engages in the business of buying and selling securities for its own account without an applicable exce...

broker-dealer

English Noun broker-dealer ( plural broker-dealers ) ( finance ) a person, company or other... engages in the business of trading securities for its own account or on behalf of its customers.

Toss Securities begins process of obtaining US broker-dealer license - The Korea Times

Toss Securities appointed Richard J. Hagen as the local CEO of its subsidiary TSA Financial (TSAF) and began the process of obtaining a U.S. broker-dealer license by the end of the year, the compan...

Dealers: Definition in Trading, Meaning and Comparison to Brokers

A dealer is a person or firm who buys and sells securities for their own account, whether through a broker or otherwise.

What Is a Broker-Dealer (B-D), and How Does It Work?

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.

Over-the-Counter (OTC) Markets: Trading and Securities

OTC market trades for securities are transacted via a dealer network, not on a centralized exchange such as NYSE.

SEC.gov | Guide to Broker-Dealer Registration

This document provides a comprehensive guide to Broker-Dealer registration, including the laws, rules, and regulations.