securities dealer

securities dealer

n
1. (Banking & Finance) stock exchange a person who buys and sells securities
2. (Stock Exchange) stock exchange a person who buys and sells securities
References in periodicals archive ?
In April, the Congregation forwarded $500,000 to Newell to cover a margin call made by a securities dealer.
A securities dealer is a taxpayer that regularly purchases securities from (or sells securities to) customers in the ordinary course of a trade or business.
3347 would also require municipal securities dealer banks (dealer banks) to incur the expense and administrative burdens of moving their municipal dealer departments out of the banks into separate brokerage firms.
1935), the court found that a broker could be regarded as a customer of a securities dealer when he:
Sonnenblick Goldman announced that SG Real Estate Securities LLC, a wholly-owned subsidiary of the firm, has been formally accepted by the National Associations of Securities Dealers as a registered Broker Dealer.
Citing consumer complaints and a growing number of enforcement actions, the National Association of Securities Dealers is recommending that the government establish far stiffer disclosure requirements for variable annuities--including making brokers and annuities dealers conduct a written suitability analysis on their customers.
Recently, the National Association of Securities Dealers made a request to the SEC for small broker/dealers to be deemed exempt from this rule.
475 mark-to-market requirements that apply to securities dealers.
The chairman of the Japan Securities Dealers Association said Tuesday he is unaware of talk of a possible merger between the Jasdaq over-the-counter market and the Nasdaq Japan Market on the Osaka Securities Exchange (OSE).
A Simi Valley broker was barred from the securities industry and fined $35,000 for misappropriating company funds for personal use, the National Association of Securities Dealers Regulation Inc.
Securities dealers commonly use RPs for overnight or very short term financing of the securities they hold.
The most well known are the New York Stock Exchange (NYSE), the American Stock Exchange (AMEX) and the National Association of Securities Dealers Automated Quotations (NASDAQ).

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