Advertising

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
 

<< Broker Broker loan rate >>

Getting Your Finances Ready for Your Golden Years: If you're seriously considering retirement, you also should be seriously thinking about how to ensure that your financial life is as comfortable and stress-free as possible. Here are a few tips. More...

Character cannot be developed in ease and quiet. Only through experiences of trial and suffering can the soul be strengthened, vision cleared, ambition inspired and success achieved. Helen Adams Keller

Advertising



Copyright 2009-2019 GVC. All rights reserved.