broker-dealer - a financial specialist who trades for his own account and so acts both as a broker and principalHow to thank TFD for its existence? Tell a friend about us, add a link to this page, add the site to iGoogle, or visit webmaster's page for free fun content.
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broker-dealer |
Also found in: Financial, Wikipedia | 0.03 sec. |
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I'm excited to be involved in building this new business," commented MacDonnell, who is registered with the broker-dealer as a General Securities Principal. The rule's first exemption and interpretation applies to loans made by an insured depository institution to an unaffiliated borrower that uses the proceeds of the loan to purchase certain third-party securities through a registered broker-dealer affiliate of the institution acting exclusively as a broker or risk-less principal in the transaction. Acquisition Positions Leading Independent Broker-Dealer for Continued Growth and Provides Increased Support for Independent Financial Representatives |
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