What does Broker-Dealer mean?
Definitions for Broker-Dealer
bro·ker-deal·er
This dictionary definitions page includes all the possible meanings, example usage and translations of the word Broker-Dealer.
Princeton's WordNet
broker-dealernoun
a financial specialist who trades for his own account and so acts both as a broker and principal
Wikidata
Broker-dealer
A broker-dealer is a term used in financial services regulations. It is a natural person, a company or other organization that trades securities for its own account or on behalf of its customers. 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. When executing trades for its own account, the institution is said to be acting as a dealer. Securities bought from clients or other firms in the capacity of dealer may be sold to clients or other firms acting again in the capacity of dealer, or they may become a part of the firm's holdings.
Matched Categories
Numerology
Chaldean Numerology
The numerical value of Broker-Dealer in Chaldean Numerology is: 4
Pythagorean Numerology
The numerical value of Broker-Dealer in Pythagorean Numerology is: 6
Examples of Broker-Dealer in a Sentence
This result, in the largest broker-dealer insolvency in history, could not have been anticipated in the dark days of the financial crisis when this liquidation began.
As a licensed broker-dealer, we're highly regulated and take clear communication very seriously.
If they are the CEO of a shell company that does nothing more than manage the broker-dealer, that's an issue, if all you've done is rearrange the deck chairs so that you are.
Ouch, states have tools in their arsenal to make life miserable for issuers and to levy fines and force rescissions of completed offerings if the sales are made through anyone other than a licensed broker-dealer.
A funding portal is not a broker-dealer and hence not compensated to do the diligence (nor have the expertise, time or resources to diligence) the underlying companies, funding portals essentially act as a matching service. The premise of crowdfunding is the crowd reviews this information and makes their own decision. Hence, portals should not be held accountable for misstatements by the issuers. Issuers need to be held accountable for those misstatements.
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"Broker-Dealer." Definitions.net. STANDS4 LLC, 2024. Web. 8 May 2024. <https://www.definitions.net/definition/Broker-Dealer>.
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