broker-dealer

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Related to broker-dealers: securities dealer
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a financial specialist who trades for his own account and so acts both as a broker and principal

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References in periodicals archive ?
The company specialises in consolidating independent broker-dealers to capture economies of scale needed to service financial advisors.
BANKING AND CREDIT NEWS-September 10, 2018-Investment Advisor recognizes Prospera Financial as a 2018 broker-dealer of the year
as a 2018 Broker-Dealer of the Year in Division I, representing firms with up to 199 producing advisors, the company said.
NEW YORK: IDB Bank announced the appointment of Ethan Levinson as President of IDB Capital(r), the Bank's broker-dealer subsidiary.
8 December 2017 - New York, US-based broker-dealer holding company Wentworth Management Services, LLC has acquired New York-based independent broker-dealer Purshe Kaplan Sterling Investments (PKS), the company said.
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.
To this end, only taxpayers who themselves are registered securities broker-dealers can apply the broker-dealer special sourcing provisions to their receipts.
advisors and broker-dealers to continue current payment and aggregation practices for research and brokerage notwithstanding impending MiFID II requirements.
* broker-dealers to avoid advisor registration even when receiving research payments in hard dollars,
Examining broker-dealers with financial advisors serving retail investors, the study offers a 10-year forecast of broker-dealers channels, including their market sizing, strategic directions, challenges and opportunities.
Read Facing Off: The 2016 Broker-Dealers of the Year on ThinkAdvisor.
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.
is "on the ground" in the branches of broker-dealers. It is