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  • noun

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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This type of conclusion has been extended to the registration of broker-dealers with the SEC; thus, if an SMLLC that is treated as a disregarded entity is a registered broker-dealer, its single member should also be treated as a registered broker-dealer.
For others, such as private-equity owned broker-dealers, getting profits up to a level that will make the broker-dealer attractive for an aggressive sale price is the prime motivation.
The report points out that changes in the advisor-client of the modern broker-dealer present different challenges and opportunities that broker-dealers must navigate.
In addition to the spreads broker-dealers receive from payout grids, there are two other primary sources of broker-dealer profit: revenue sharing and markup.
Deductibles start at $25,000 for broker-dealers and $5,000 for registered representatives.
The Securities and Exchange Commission (SEC) has expressed concerns about the interplay of margin with other financial responsibility rules for broker-dealers, competition between market participants, the solvency of financial institutions, and systemic issues.
Established in January 2004, FSI has 116 independent Broker-Dealer members and approximately 12,500 independent financial advisor members.
For multiple broker-dealers operating under a single owner, the temptation to cut costs by consolidating back-office services is nothing new but with the added expenses and revenue decline of DOL rules, consolidation projects appear to be hitting fever pitch (see Fighting the Big Profit Squeeze).
The final three trends, released in early January 2015, urged forward-thinking broker-dealers to:
If your firm outsources to an ally that serves as a liaison between you and the bond broker-dealers, that ally should already have these elements in place, as well as established relationships with multiple broker-dealers.
The American Council of Life Insurers, whose member insurers hold the annuities that the broker-dealers sell, welcomed the report for pointing out the strengths of annuity products, but would have liked to have seen more thorough information about the complaints cited.
There is, of course, some crossover in regulatory authority; the SEC oversees subsidiaries of banks and bank holding companies that are registered broker-dealers or investment advisers.
NYSE: ISE), is presently using ISERoute to implement exchange-defined routing logic and transmit orders that access other markets through sponsoring agency broker-dealers.
From my experience conducting broker-dealer due diligence since 1999, and seeing the number of broker-dealers fall from 5,100 to 3,950 in that time, I can say with confidence that broker-dealer management will rarely share any problems that are going on at the firm until it's too late for advisors to do anything proactive.
With the recent sales of broker-dealers, have you noticed how many BDs in the top 50 are privately owned?