broker-dealer


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Related to broker-dealer: brokerage, Series 7
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Words related to broker-dealer

a financial specialist who trades for his own account and so acts both as a broker and principal

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Atria's broker-dealer subsidiaries have USD 65 billion in assets under advisement.
is an independent broker-dealer servicing over 500 independent financial advisors throughout the country.
Ethan joins the broker-dealer with over 14 years of experience in senior positions at various firms, including Founder and President of two broker-dealers.
Partnering with them will enable the company to acquire and integrate additional independent broker-dealers.
The company specialises in consolidating independent broker-dealers to capture economies of scale needed to service financial advisors in a technology-enabled regulatory environment.
"In the U.S., money managers often use client commission arrangements to obtain brokerage and research services from a broker-dealer, using a single, 'bundled' commission that is separated after execution to pay for order execution and research," the SEC explained.
The no-action relief also states that under MiFID II, money managers may make payments to an executing broker-dealer out of client assets for research alongside payments for order execution, and the executing broker-dealer must transmit the payments for research into research payment accounts (RPAs).
"As technology use continues to shape the advisor landscape, it is becoming a significant factor for advisors choosing a new (broker-dealer)," says Shirk.
Broker-dealers with less than $5 billion in assets account for 84 percent of overall broker-dealer volume and 4 percent of advisor-managed assets.
Firms that get votes from at least 10% of their producing reps are in the running for Broker-Dealer of the Year.
Among the questions we ask reps is which broker-dealer they would affiliate with if they left for another firm.
stock manipulator who borrows money from the broker-dealer to do the
That's the sobering finding of a 4th quarter, 2015 report of Cerulli Associates, "The Cerulli Edge: Retirement Edition." The research explores the implications of the DOL's April 2015 draft rule, which endeavors to impose a fiduciary standard of care on broker-dealers industry-wide.