In financial services, a broker-dealer is a natural person, company or other organization that engages in the business of trading securities for its own...

Automobile broker Broker-dealer Business broker Shipping agency Auto transport broker Commodity broker Corredor Público Customs broker Freight broker Information...

An Inter-dealer broker (IDB) is specialist financial intermediary that facilitates transactions between broker-dealers, dealer banks and other financial...

commission, markup, or fee. In most countries they are regulated as a broker or broker-dealer and may need to hold a relevant license and may be a member of...

Financial) was founded in 1989 and is considered the largest independent broker-dealer in the United States. As of 2021 the company had more than 17,500 financial...

directly the ability of broker-dealers to meet their financial obligations to customers and other creditors. Broker-dealers are companies that trade...

States-based broker-dealer and asset management firm headquartered in Fairfield, Iowa. The company was founded in 1981 and mainly works as a broker-dealer, but...

support (prime brokers act as a hedge fund's primary operations contact with all other broker dealers) In addition, certain prime brokers provide additional...

Look up Dealer or dealer in Wiktionary, the free dictionary. Dealer may refer to: Dealers (film), a 1989 British film Dealers (TV series), a reality television...

is very different from broker-dealers and their representatives, who provide recommendations for a commission. Broker-dealers and their representatives...

capitalization. Depending on the jurisdiction, the division uses different broker dealer subsidiaries of RBC: Canada: RBC Dominion Securities United States:...

Network is a privately held Registered Investment Adviser–independent broker/dealer based in Waltham, Massachusetts, and 110 Plaza in San Diego, California...

registration as an RIA. Broker-dealers in the US serving retail customers are subject to Regulation Best Interest: The Broker-Dealer Standard of Conduct ("Reg...

sell through broker-dealers and have their assets retained by either their executing broker-dealer, a custodian bank or a prime broker. These transactions...

independent broker-dealer or IBD). There are also "hybrid RIAs" who are both broker-dealers and registered. The number of independent broker-dealer firms has...

the investment banking arm, both firms engage in prime brokerage and broker-dealer activities. The firm is headquartered in New York City, and once occupied...

Interactive Brokers is the largest foreign exchange market broker and is one of the largest prime brokers servicing commodity brokers. The company brokers stocks...

asset manager by a broker-dealer as a result of commissions generated from a financial transaction executed by the broker-dealer for client accounts...

Protection Act (SIPA) of 1970 that mandates membership of most US-registered broker-dealers. Although created by federal legislation and overseen by the Securities...

negotiated and executed outside of the open market for that security. Major broker-dealers often provide "block trading" services—sometimes known as "upstairs...

may be accessed indirectly by retail investors and traders via retail brokers. One of the main advantages for institutional investors in using dark pools...

Products Europe GmbH In the United States, a primary dealer is a bank or securities broker-dealer that is permitted to trade directly with the Federal...

independent broker-dealers, in 2023, the company began the process to integrate all the firms under the Osaic brand and service platform. The remaining broker-dealers...

create Realty Capital Securities, LLC, or RCS, a broker dealer seven times larger than any other broker-dealer operating in the industry at the time. They...

and other broker-dealers, including Goldman Sachs, Bank of America, Van der Moolen, and others, for improperly executing trades for their dealer accounts...

operates through two business segments: a broker-dealer and an investment management division. The company's broker-dealer division offers investment banking...

Mohammad Ismail Sloan, is an American perennial candidate and former broker-dealer. In 1978, he won a case pro se before the United States Supreme Court...

securities for the purpose of satisfying the custody obligations of the broker-dealer towards its customers. Article 8 of the Uniform Commercial Code provides...

fee—earned by members of the syndicate, and the Concession—earned by the broker-dealer selling the shares. The Manager would be entitled to the entire underwriting...

consider:[citation needed] Engaging a dealer-manager or broker-dealer to manage the offering process Selling group and broker-dealer participation Subscription price...