Any individual or firm in the business of buying and selling securities for itself and others. Broker/dealers must register with the SEC. When acting as a broker, a broker/dealer executes orders on behalf of his/her client. When acting as a dealer, a broker/dealer executes trades for his/her firm's own account. Securities bought for the firm's own account may be sold to clients or other firms, or become a part of the firm's holdings.
Related information about broker/dealer:
- Broker-dealer - Wikipedia, the free encyclopedia
A broker-dealer is a term used in United States financial services regulations. It is a natural person, a company or other organization that trades securities for its ...
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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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Any person, other than a bank, engaged in the business of buying or selling securities on its own behalf or for others. See: Dealer.
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Definition of broker/dealer: Any individual or firm in the business of buying and selling securities for itself and others. Broker/dealers must register with the SEC.
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