Investor Glossary-broker/dealerInvestor Glossary-broker/dealerInvestor Glossary-broker/dealerInvestor Glossary-broker/dealerInsightful stock market charts - Click here
investor
Categories    # A B C D E F G H I J K L M N O P Q R S T U V W X Y Z

Broker/dealer

The HTML to link to this page
 

A broker/dealer is an individual or a firm which is legally entitled to buy and sell securities for itself as well as for others. A broker/dealer must be registered with the Securities and Exchange Commission. When acting as a broker a broker/dealer buys and sells securities on behalf of clients. When acting in the capacity of a dealer a broker/dealer buys and sells on behalf of his of her own firm. Securities held by a broker/dealer in the dealer's own account may be offered to clients and others. For this reason, some investors refuse to blindly accept the buy or sell advice of a broker/dealer since there is the potential for a conflict of interest if the broker/dealer is selling securities to the client from their own dealer account.



Rate this broker/dealer definition...

Learn about investing with the Investor Glossary Term of the Day


Click here for insightful stock market charts. Where is the market headed? The answer may surprise you. Find out
with the exclusive & Barron's recommended charts of Chart of the Day.


Popular Terms: risk management, annual return, FTSE, dividends payable, implied volatility, Zero Cost Collar, inflation, open position, average price per share, 1031 exchange, option premium, quality assurance, current ratio, FICO score, ex-dividend date, liquidity ratio, labor relations, diluted share, margin rate, required rate of return, irrevocable trust, command economy, minority interest, EBITDA, cancelled check, APR, LIBOR, phantom income, deferred revenue, ex-dividend, real GDP, 401a, 1035 exchange, per diem, 144a, Key Rate Duration, stock split, debt service coverage, deferred tax, in escrow, limit order, VIX, wholly-owned subsidiary, covered put, retained earnings, balance sheet, reverse mortgage, class C shares, stock market close


Accounting | Banking | Bonds | Brokers | Economy | Futures | Mutual Funds | Options | Real Estate | Retirement | Stocks | Taxes | Technical Analysis
Investor Glossary | Term of the Day | Suggest a Term | Chart of the Day | Dogs of the Dow
©2004-2016 Investor Glossary - All rights reserved - Terms of Use