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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 account or on behalf of its customers. Broker-dealers are at the heart of the securities and derivatives trading process. [1]
A stockbroker is an individual or company that buys and sells stocks and other investments for a financial market participant in return for a 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 a stock exchange.
Economics; Securities and Financial Instrument Analysis; Portfolio management; Capital Market Authority (Saudi Arabia) General Securities Qualification Examination (CME-1) Compliance & Anti-money laundering/CTF (CME2) Broker-Dealer Qualification Certificate (CME-3) Various courses for The U.A.E. (Dubai, Abu Dhabi), Kuwait, Bahrain, Saudi Arabia
The Treynor dealer model, developed by Jack L. Treynor in a 1987 CFA Institute publication "The Economics of the Dealer Function" describes the role of the broker-dealer in providing market liquidity through exchanges with a value-based transactor (VBT) for securities.
In the United States, a primary dealer is a bank or securities broker-dealer that is permitted to trade directly with the Federal Reserve System ("the Fed"). [8] Such firms are required to make bids or offers when the Fed conducts open market operations , provide information to the Fed's open market trading desk, and to participate actively in ...
Is an insurance broker better than an insurance agent? Bankrate explains.
A broker price opinion (BPO) is a real estate professional’s dollar estimate of a property’s worth. It is an opinion, but one often backed up by the selling prices of comparable homes in ...
The general securities principal exam, commonly referred to as the Series 24 exam, is administered by the U.S. Financial Industry Regulatory Authority (FINRA) which qualifies a registered individual to supervise or manage branch activities such as corporate securities, REITs, variable contracts, and venture capital; a general principal may also approve advertising and sales literature ...