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 | 0.02 sec. |
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The SEC has published a draft contract proposal in preparation for a study comparing how the different regulatory systems that apply to broker-dealers and investment advisers affect investors. The AICPA Personal Financial Planning (PFP) Executive Committee has been tracking the SEC's activities relating to its final rule, "Certain Broker-Dealers Deemed Not to Be Financial Advisers" (www. has improved its specialized errors and omissions program for broker-dealers with 75 or fewer representatives. |
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