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 A commodity broker is a firm or individual who executes orders to buy or sell commodity contracts on behalf of clients and charges them a commission. An individual or firm employed by others to plan and organize sales or negotiate contracts for a commission. A broker's function is to arrange contracts for. FinCEN, a bureau of the Department of the Treasury, is proposing amendments to the definitions of ``broker or dealer in securities'' and ``broker-dealer'' under the. In financial services, a broker-dealer is a natural person, a company or other organization that engages in the business of trading securities for its own account or. Stock brokers and dealers generally must register with the U. Securities and Exchange Commission (SEC). SEC rules define a stock broker broadly as any person. When it comes to broker dealer definition, for the majority of investors, the “financial services industry” is usually a mysterious and strange place that is. Wondering what a broker/dealer actually is? Let the professionals at SII, one of the largest independent brokerage firms in the Midwest, explain it all. Broker-dealer: a financial specialist who trades for his own account and so acts both as a broker and principal. What is a Broker Dealer and what do Broker Dealers Do? A broker-dealer is a person or firm that buys and sells securities, operating both as a broker and also a dealer. Define broker-dealer and get synonyms. What is broker-dealer? broker-dealer meaning, pronunciation and by Macmillan Dictionary. Chapter 2 Broker-Dealer and Associated Person Registration Frederick Wertheim Sullivan & Cromwell LLP, New York [Chapter 2 is current as of February 26, 2010. What Is a Broker-Dealer? Robert L. Colby Chief Legal Officer, Financial Industry Regulatory Authority, Inc. Broker-dealer: read the definition of Broker-dealer and 8,000+ other financial and investing terms in the Financial Glossary. In securities trading, individual or firm that may act either as a broker (the agent) or a dealer (the principal) but not both in a transaction. 2 Broker-Dealer Basics Statutory definition: Engaged in the business of effecting securities transactions. Definition of broker-dealer from QFinance - The Ultimate Financial Resource. What is broker-dealer? Definitions and meanings of broker-dealer. Broker-Dealer Registration and FINRA Membership Application – 2 I. Jurisdiction Broker-dealers are subject to regulation by the SEC, FINRA and any other SROs (such. The term broker-dealer is used for a person or a firm involved in trading of securities (buying or selling) working as both a broker and a. The legal definition is somewhat different—and. Individuals who work for broker-dealers—the sales personnel whom most people call brokers—are technically.

 Definition of Association of Futures Brokers and Dealers from QFinance - The Ultimate Financial Resource. What is Association of Futures Brokers and Dealers. Services Carrying broker-dealers include all broker-dealers that clear customer transactions, carry customer accounts or hold custody of customer cash or securities. ‘Through Morgan Stanley Dean Witter, Allstate sells annuities under the Northbrook name, and through banks and broker-dealers it sells under the Glenbrook name. Broker dealer definition In financial services, a broker-dealer is a natural person, a company or other organization that engages in the business of. This document provides a comprehensive guide to Broker-Dealer registration, including the laws, rules, and regulations. Definition of a Securities Broker & Dealer. A securities broker buys and sells securities on behalf of clients, while a securities dealer buys and sells. Broker-dealer definition, meaning, what is broker-dealer: a person or a financial company that acts both as a broker, making investments for…. What is Broker/dealer? Find out right now with a helpful definition and links related to Broker/dealer. They are the agents who play a role of inter-mediator between a buyer and a seller to carry out a transaction. Broker-dealers must maintain sufficient net capital at all times prior to, during and after purchasing or selling proprietary securities. N a financial specialist who trades for his own account and so acts both as a broker and principal. Broker-dealer - a financial specialist who trades for his own account and so acts both as a broker and principal dealer, principal - the major party to a. Definition of BROKER DEALER: A brokerage firm that buys and sells securities on its own account as a principal before selling the securities to customers. Broker/dealer - An individual or firm that can act as both an intermediary, charging customers a commission, or as a principal, transacting business for their. Definition of broker for Students : a. A securities broker often acts also as a dealer and so is often referred to as a broker-dealer. What is a 'Broker-Dealer' A broker-dealer is a person or firm in the business of buying and selling securities, operating as both a broker and a dealer, depending on. Broker-dealer Any person, other than a bank, engaged in the business of buying or selling securities on its own behalf or for others.