broker-dealer investment & finance definition
A firm that functions both as a broker by bringing buyers and sellers together and as a dealer by taking positions of its own in selected securities.
In most cases, broker-dealers must also be members of the Securities Investor Protection Corporation (SIPC), a non-profit entity that assists investors when their brokerage firms go bankrupt or otherwise fail.
Broker-dealer firms that disdain practices such as hostile takeovers.
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Broker-Dealer- This is an individual or a company that trades on securities. The individual or company can also perform the actions of a broker or a dealer.
BRUT ECN- An Electronic Communications Network owned by Brut.
Broker-dealer Individual Clearer
Broker-dealer individual clearer: following the Jan.
Broker-dealer
A firm that handles transactions for its customers and also purchases securities for its own account, selling them to customers.
BROKER-DEALER- A general term for a securities firm that is engaged in both buying and selling securities for customers (i.e., agency trades) and also buying and selling for its own account (i.e., principal trades).
Broker-dealer
Any person, other than a bank, engaged in the business of buying or selling securities on its own behalf or for others. See: Dealer.
Broker loan rate
Related: Call money rate.
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.
One Broker-dealer per Day: The company repurchasing shares may not use more than one broker or dealer to acquire the shares per each day.
Timing of Purchase: A repurchase may not be the first trade of the day.
Broker-Dealer
A firm engaged in the business of effecting securities and other transactions for the accounts of others. They are required to be registered with the ...
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Broker-Dealer Glossary Term
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Broker-Dealer
Firms that act as securities dealers or brokers, or perform both functions. A broker is an individual or firm who acts as an intermediary between a buyer and seller, usually charging a commission.
Broker-dealers who hold bonds in inventory increase or "mark up" the price when a customer buys a bond from them, and reduce or "mark down" the price when a customer sells a bond back to them.
A broker-dealer firm that accepts the risk of holding a certain number of shares of a particular security in order to facilitate trading in that security.
Find a broker-dealer who fits your style well and has the tools you need. Read the reviews of brokers for more information about them.
Like all broker-dealers, day trading firms must register with the SEC and the states in which they do business.
2) a broker-dealer has inadequate hardware or its Internet Service Provider is slow or delayed; or
3) traffic on the Internet is heavy, slowing down overall usage.
Specifically, the broker-dealer matches an order against another broker-dealer order using an electronic communication network (ECN). The broker-dealers and the ECN send a ticket file to their clearing firms with the trade details.
Broker-Dealer: A securities firm that is acting as a broker or intermediary and/or a dealer or principal in a transaction.
Bull Market: A securities market characterized on rising or high prices.
We are a registered Broker-Dealer, Member CBSX. (New York)
Capital Traders Group Capital Traders Group is a proprietary day trading firm providing its members access to firm capital, proprietary trading software, remote & on-site training, ...
firm order A client order which is not subject to cancellation, or an order to buy or sell for a broker-dealer's own account. firm price A price which is not negotiable.
To accomplish this, the stock must be borrowed from a broker-dealer before it can be sold. Side A side considers the buy and sell actions of a trade as separate events.
Directed brokerage: This is the practice of a fund adviser sending trades to a specific broker-dealer for execution ("directing" the trade), often in exchange for some benefit to the advisor, such as additional shelf space for its products.
The SIPC protects customers of broker-dealers registered with the United States Securities and Exchange Commission, thereby promoting confidence in United States securities markets.
interest in a pool of securities and other assets and thus are similar in many ways to traditional mutual funds, except that shares in an ETF can be bought and sold throughout the day like stocks on a securities exchange through a broker-dealer.
Broker-dealers are required to have in place Chinese walls (also called information barriers) that prevent the transmission of insider information from one department to another.
Underwriting the issues Received by the broker-dealers far exceeds the number of shares that the issuing company plans to sell. The stock issued, the share price rises above the offering price.
With regard to the Magellan Fund, it can lend the fund's securities to broker-dealers or other institutions to earn income for the fund.
Van Kampen consists of a large and diversified network of unaffiliated broker-dealers, banks and thrifts, insurance companies, and financial planners.
MARKET MAKER On the NASDAQ system, a broker-dealer willing to accept the risk of holding a particular number of shares of a particular security in order to facilitate trading in that security.
Market Maker - A broker-dealer firm that owns shares of a security and is willing to buy and sell at the quoted bid and ask prices. The firm lists buy and sell prices to attract customers.
The Motley Fool is not a registered broker-dealer and does not endorse or recommend the services of any brokerage company.
It is a trading of securities which are traded within a broker-dealer firm rather than taking the trade to an exchange with another broker-dealer in over-the-counter market.
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It is initiated by borrowing stock from a broker-dealer and selling it in the open market. This strategy is closed (Covered) at a later date by buying back the stock and returning it to the lending broker-dealer.
Investment banks offer securities trading by maintaining broker-dealer operations. Many investment banks also provide market making for securities.
Security Suspended
This security has been suspended fromtrading by the Exchange.
Established between the investment company and a broker-dealer that allows the broker-dealer to buy and sell their family of funds.
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SFB is privately run web service and is not registered as a broker-dealer or investment adviser either with the U.S. Securities and Exchange Commission or with any state securities authority.
ALPS Distributors, Inc., a registered broker-dealer, is the distributor for the Select Sector SPDR Trust.
National Association of Securities Dealers (NASD) Self-regulatory organization of broker-dealers operating under the auspices of the Securities and Exchange Commission.
OTC (commodities) market Over-the-counter exchange in which broker-dealers create (and buy and sell) customized products such as commodity swaps and index derivatives.
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OTC Market: The security exchange system in which broker-dealers negotiate directly with one another rather than through an auction on an exchange floor.
GuideStone Funds shares are distributed by PFPC Distributors, Inc., a registered broker-dealer and underwriter of the funds, 760 Moore Rd., King of Prussia, PA 19406.
Istinet: An electronic securities broker through which large institutional firms and broker-dealers can trade stocks.
Intermediate-term bonds: Bonds that mature in five to ten years ...
John Mauldin is a registered representative of Millennium Wave Securities, LLC, (MWS) an NASD registered broker-dealer. Millennium Wave Investments is a dba of MWA LLC and MWS LLC.
QUALIFIED INSTITUTIONAL BUYER (QIB). A nonindividual shareholder that owns and manages at least $100 million in securities, with certain exemptions for
broker-dealers, banks, and savings and loan associations.
QUIET FILING. See Silent Filing.
If you really are decided on taking part in day trading, one of the most important precautions that you can at least take is to check with your state securities regulator about day trading firms. After all, just like any broker-dealers, ...
Definition
Direct placement
Selling a security issue to one or several large investors (usually institutional investors) rather than offering it to the public through broker-dealers.
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Over the counter stocks also refer to stocks that trade through a dealer network instead of a centralized exchange and are traded by broker-dealers who negotiate directly win one another over computer networks and via the phone.
Unit shares in limited partnerships can be purchased through a securities broker-dealer or financial planner.
Spreads widen and slippage increases for both entries and exits. Opportunities vanish as good short sale inventories dry up at many broker-dealers. Reliable information disappears and good sources close shop due to a lack of interest.
Investor brochure: Publication of the MSRB that describes municipal securities trading. Upon receiving a complaint from a customer, the broker-dealer must deliver the brochure to the customer.
of investment industry brokers and dealers who work together to establish industry standards and establish fair practices within the industry. The NASD is considered a self-regulatory organization because it is a group of industry broker-dealers ...
com are not a registered broker-dealer and does not endorse or recommend the services of any brokerage company. The brokerage company you select is solely responsible for its services to you.
The name of the broker-dealer or its nominee in which title to customer securities may be held as a service. Holding securities in street name facilitates trading, and customers do not need to worry about safekeeping.
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Broker-Dealer : See Dealer.
Brokerage : Commission charged by a broker.
BSD : ISO 4217 currency code, Currency used in Bahamas, called Dollars.
BTN : ISO 4217 currency code, Currency used in Bhutan, called Ngultrum.
BUBA : See Bundesbank.
[NYSE] broker-dealer An entity engaged in the business of buying and selling securities. [SEC] Any person, other than a bank, engaged in the business of buying or selling securities on its own behalf or for others.
 See also: Dealer, Broker, Securities, Market, Investment
  
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