broker-dealer definition
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- DEFINITION of 'Broker-Dealer'. A person or firm in the business of buying and selling securities, operating as both a broker and a dealer, depending on the transaction.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.A brokerage acts as a broker (or agent) when it executes orders on behalf of clients, whereas it acts as a dealer (or principal) when it trades for its own account. brokerage acts as a broker (or agent) when it executes orders on behalf of clients, whereas it acts as a dealer (or principal) when it trades for its own account.
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broker Definition. Person who serves as a trusted agent or intermediary in commercial negotiations or transactions. Brokers are usually licensed professionals in fields where specialized knowledge is required, such as finance, insurance, and real estate.efinition. Person who serves as a trusted agent or intermediary in commercial negotiations or transactions. Brokers are usually licensed professionals in fields where specialized knowledge is required, such as finance, insurance, and real estate.
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Guide to Broker-Dealer Registration The SEC oversees and has. enforcement authority against the activities of securities brokers. The Securities Exchange Act. of 1934 defines a broker as “any person engaged in the business of effecting transactions in. securities for the accounts of others 5.. The security brokers themselves are licensed by the.
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Definition of Terms in and Specific Exemptions for Banks, Savings Associations, and Savings Banks Under Sections 3 (a) (4) and 3 (a) (5) of the Securities Exchange Act of 1934 broker. 1  an agent who buys or sells for a principal on a commission basis without having title to the property. 2  a person who functions as an intermediary between two or more parties in negotiating agreements, bargains, or the like. 3  stockbroker. 4  to act as a broker for: to broker the sale of a house. 5  to act as a broker.
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Singular Nouns Starting with D Webster Dictionary(0.00 / 0 votes)Rate this definition: 1  Dealer(noun) one who deals; one who has to do, or has concern, with others; esp., a trader, a trafficker, a shopkeeper, a broker, or a merchant; as, a dealer in dry goods; a dealer in stocks; a retail dealer. 2  Dealer(noun) one who distributes cards to the players.
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- Wiktionary(0.00 / 0 votes)Rate this definition: acceleration(Noun) The act of accelerating, or the state of being accelerated; increase of motion or action; as opposed to retardation or deceleration. a falling body moves toward the earth with an acceleration of velocity. acceleration (Noun) The amount by which a speed or velocity increases (and so a scalar quantity or a vector quantity). The boosters produce an acceleration of 20 metres per second per second. acceleration (Noun)
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Broker-dealer 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 investment companies. When executing trade orders on behalf of a customer, the institution is said to be acting as a broker.
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- A broker acts as a middleman in a financial transaction, between a buyer and seller of securities, such as stocks and bonds. A brokerage firm consists of a number of brokers, working together in the same company to service a larger pool of financial clients.
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- BREAKING DOWN 'Broker-Dealer'. Broker-dealers fulfill several important functions in the financial industry; these include providing investment advice to customers, supplying liquidity through market-making activities, facilitating trading activities, publishing investment research and raising capital for companies.EFINITION of 'Broker-Dealer'. A person or firm in the business of buying and selling securities, operating as both a broker and a dealer, depending on the transaction.
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Definition Of A Wine Broker? A wine broker is an independent contractor who acts as the agent in the sale of wine products. Typically, wine broker's services are contracted by smaller wineries and wholesalers who cannot maintain their own in-house marketing representatives.
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- Agent and broker are two professions that do business by being a middle-man between a company, such as an insurance company or a real estate developer, to the customer. Agents and brokers facilitate the transaction and information between the companies and the consumers.
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- Broker-dealer. A broker-dealer (B/D) is a license granted by the Securities and Exchange Commission (SEC) that entitles the licensee to buy and sell securities for its clients' accounts.The firm may also act as principal, or dealer, trading securities for its own inventory.roker-Dealer. A person or, more often, a firm that acts as a broker for some transactions and a dealer for others. That is, as a broker, he/she conducts transactions on behalf of clients, and, as a dealer, he/she trades on his/her own account. In practice, most brokerages are in fact broker-dealer firms.
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DEFINITION of 'Forex Broker' Forex Broker. DEFINITION of 'Forex Broker'. Firms that provide currency traders with access to a trading platform that allows them to buy and sell foreign currencies. A currency trading broker, also known as a retail forex broker, or forex broker, handles a very small portion of the volume of the overall foreign exchange market.
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- What is a 'Brokerage Fee'. A brokerage fee is a fee charged by an agent or agent’s company to conduct transactions between buyers and sellers. The broker charges the brokerage fee for services such as purchases, sales, and advice on the transaction, negotiations or delivery.
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What is a buyer-broker agreement? Licensed Real Estate [buyer] Broker Buyer-Broker Agreements. defined and re-defined: One of the surest way to minimize the likelihood of unintended conflicts of interest and misunderstandings in business, is via a written agreement, officially known as a Contract. In this case a Buyer Broker Agreement [Contract]..
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Ironside  (1967 TV series) For the remake, see Ironside (2013 TV series). Ironside is an American television crime drama that aired on NBC from 1967 to 1975. The show starred Raymond Burr as Robert T. Ironside, a consultant for the San Francisco Police who was paralyzed from the waist down after being shot in the line of duty. The character debuted on March 28, 1967, in a TV movie called A Man Called Ironside.
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dealer Related Terms. Individual or firm that buys goods from a producer or distributor for wholesale and/or retail reselling. Unlike a distributor, a dealer is a principal and not an agent. You need to have a good relationship with the dealer so that they will let you know when good deals are around.
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Glossary: Logistics and Supply Chain Management DEFINITION of 'Brokerage Company'. A business whose main responsibility is to be an intermediary that puts buyers and sellers together in order to facilitate a transaction. Brokerage companies are compensated via commission after the transaction has been successfully completed.
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What is a 'Broker' Loading the player... A broker is an individual or firm that charges a fee or commission for executing buy and sell orders submitted by an investor. 2. The role of a firm when it acts as an agent for a customer and charges the customer a commission for its services.
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Why Does My Financial Planner Need a Broker-Dealer? A broker-dealer is a business that is regulated and licensed under Securities and Exchange Commission rules to buy and sell securities for its own accounts and for customers. If you have a stock brokerage account, the company where you have the account is -- in securities terms -- a broker-dealer.Any individual who wants to work as a stock broker or investment adviser must be employed by or registered with a broker-dealer. The B-D firm handles the trades an adviser places for his customers.f you have a stock brokerage account, the company where you have the account is -- in securities terms -- a broker-dealer. Any individual who wants to work as a stock broker or investment adviser must be employed by or registered with a broker-dealer. The B-D firm handles the trades an adviser places for his customers.
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Choosing your advisers A broker is a securities house and a member of the London Stock Exchange. 1  The broker’s role is to: 2  assess the level of investor interest in a company's AIM securities, at admission and in the run-up to any further issues provide advice on market and trading related issues. 3  advise on market and trading related issues.
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broker The client is considered the principal and the broker acts as the client's agent. An agent's powers generally extend beyond those of a broker. A distinguishing feature between an agent and a broker is that a broker acts as a middleperson. When a broker arranges a sale, he or she is an agent of both parties.
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- DEFINITION of 'Broker-Dealer'. A person or firm in the business of buying and selling securities, operating as both a broker and a dealer, depending on the transaction.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.A brokerage acts as a broker (or agent) when it executes orders on behalf of clients, whereas it acts as a dealer (or principal) when it trades for its own account.EFINITION of 'Broker-Dealer'. A person or firm in the business of buying and selling securities, operating as both a broker and a dealer, depending on the transaction.
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- Auto Insurance with 90+ answers. Science tells us that all things fall at the same speed so the real issue that causes concern is the size of the hail. Normally pea sized hail won't cause noticeable damage to the exterior of a vehicle, but hail from the size of a quarter on up can cause significant damage.
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Broker An agent or broker is a person or business who can help you apply for help paying for coverage and enroll in a Qualified Health Plan (QHP) through the Marketplace. They can make specific recommendations about which plan you should enroll in.
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insurance broker An independent agent who represents the buyer, rather than the insurance company, and tries to find the buyer the best policy by comparison shopping. “ I talked to my insurance broker about it and he told me a few things that I needed to know.