Examples of 'broker-dealer' in a sentence
Meaning of "broker-dealer"
A broker-dealer is a financial company or individual that is in the business of buying and selling securities like stocks, bonds, and other investment products on behalf of customers or for their own account
How to use "broker-dealer" in a sentence
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broker-dealer
We are not a registered broker-dealer or an investment advisor.
The company also announced it is closing its broker-dealer.
Robinhood is a broker-dealer and not a registered conventional bank.
If it conducts any of these activities, it must register as a full broker-dealer.
Firms may register both as a broker-dealer and a commodity broker.
International financial reporting standards have been mentioned, as have broker-dealer agreements.
This is how broker-dealer firms build their own portfolios.
Qualifying subordinated debt is overall an important component of broker-dealer net capital.
Madoff operated as a broker-dealer who also ran an asset management division.
General knowledge of applicable regulatory requirements and expectations related to investment banking and broker-dealer activities.
For most of our history we were a broker-dealer and investment advisor.
Operating as a broker-dealer would greatly expand the list of assets that the company could list.
The holy grail of sales commissions for many broker-dealer producers is the variable annuity.
Apart from venturing into trading cryptocurrencies, Gemini is also working on getting a broker-dealer license.
The token issuer must not be a broker-dealer or in any way deal in securities.
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AMERCO has no interest in becoming a broker-dealer.
When a stock is actively traded, a broker-dealer may receive opposing retail orders nearly simultaneously.
Must be register with the SEC as a broker-dealer.
It must be conducted by a licensed broker-dealer or via a funding portal registered with the SEC.
The new DOL rules were expected to increase compliance costs, especially in the broker-dealer world.
CrowdStreet is not a registered broker-dealer or investment adviser.
First, Coinbase announced that they acquired Keystone Capital Corporation to become a regulated broker-dealer.
Some of the trades the Broker-Dealer executed for BANDES had no discernible business purpose.
Aiding and abetting another in filing inaccurate broker-dealer reports with the SEC.
The broker-dealer is the fiduciary.
I did not love that broker-dealer.
Over the past 12 months, the broker-dealer field has been in a tremendous state of transition.
In practice, brokers are typically also dealers, so the term broker-dealer is ubiquitous.
A trader at a broker-dealer firm in New York.
Our services throughout ATS registration process ( with the concurrent FINRA and broker-dealer registration ) include,.
BNYMCM is a registered broker-dealer and member of FINRA and SIPC.
The broker-dealer adds to this total the amount of any " qualifying subordinated debt " it owes.
More interestingly, Bear 's broker-dealer clients started running too.
Investment banking services are provided by Duff & Phelps Securities, LLC, an NASD registered broker-dealer.
For liquidating a registered broker-dealer that becomes bankrupt . A trustee is the person who 's responsible.
Which of the following actions by an agent of a broker-dealer is NOT permitted?
For STO/ICO sponsors, broker-dealer issues most often arise in the context of their marketing campaigns.
Assets and earnings of major broker-dealer firms SEC, NYSE.
The SEC said Femenia then tipped his friend, Shawn Hegedus, a registered broker-dealer.
In the US, AIG sold its broker-dealer arm citing increased compliance costs.
In this way 130 compliance officers in banks, insurance companies and broker-dealer companies, who work dir.
By our broker-dealer.
These investment products are available through investment accounts with a broker-dealer ( e.g. Merrill Edge ).
The SEC and FINRA previously scheduled a broker-dealer meeting in Chicago for June 27 to discuss crypto.
In 2018, Coinbase received the regulatory approval to purchase securities firms that had broker-dealer licenses.
Assets and earnings of major broker-dealer firms 12 ( in thousand million dollars ).
The intermediary can be a registered broker-dealer or a " funding portal . ".
