Broker-Dealer

A broker-dealer is a firm or individual in the business of buying, selling, and managing securities. A broker-dealer will conduct business as both a broker (buyer) and a dealer (seller) depending on the specific transaction.

    • Broker-dealers are required to be members of the Financial Industry Regulatory Association, also known as FINRA (org) and legally must also be registered with the United States Securities and Exchange Commission (SEC).
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