Broker-Dealer

  • 5 Posts
  • 1 Sections
  • 1 Types
August 18, 2024 5 min read Dictionary
Broker-Dealer (B-D)
Finance Securities Broker-Dealer Financial Markets Securities Trading Investment Brokerage
A Broker-Dealer is a financial entity involved in the business of buying and selling securities for its own account and its customers.
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August 18, 2024 5 min read Dictionary
Over-the-Counter Market (OTC)
Stocks Trading OTC Market Securities Trading Broker-Dealer
Where Stocks Fraud, Fantasies, and Fantasies Collide!
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August 18, 2024 5 min read Dictionary
Qualified Special Representative Agreement (QSR)
Financial Agreements Broker-Dealer Operations QSR Trades Broker-Dealer Nasdaq Investment
An agreement between broker-dealers for clearing trades without the Nasdaq ACT system.
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August 18, 2024 6 min read Dictionary
Series 24 License
Finance Examination Series 24 Licensing FINRA Compliance Broker-Dealer
The Series 24 exam qualifies individuals to supervise and manage broker-dealer branch activities.
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August 18, 2024 5 min read Dictionary
Wirehouse
Finance Investing Broker-Dealer Full-Service Financial Institutions Investment Stock Market
A full-service broker-dealer with a historical twist!
Read more about Wirehouse.

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