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Broker dealer

• A person or firm in the business of buying and selling securities. Also known as an Agent when buying securities and a Principal when selling them; one person may act as either, but not in the same transaction. Broker-dealers normally must register with the SEC, the appropriate SROs and any state in which they do business. See also: Broker.

 
 Embedded terms in definition
 Agent
Broker
Firm
Principal
Securities
Sec
Sros
 
 Related Terms
 

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