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BROKER DEALER OPS MANUAL


Broker-Dealer Definition - Investopedia
A broker-dealer is a financial entity that is engaged with trading securities on behalf of clients, but which may also trade for itself. A broker-dealer is acting as a broker or agent when it
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Broker-dealer - Wikipedia
In financial services, a broker-dealer is a natural person, company or other organization that engages in the business of trading securities for its own account or on behalf of its customers. Broker-dealers are at the heart of the securities and derivatives trading process. Although many broker-dealers are "independent" firms solely involved in broker-dealer services, many others are business
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Broker-Dealer: What Is It? - The Balance
A broker-dealer is an individual or a firm that's in the business of buying and selling securities. They can act as either agents or dealers. As an agent, a broker-dealer helps a customer buy or sell securities. As a dealer, a broker-dealer is one of the parties doing the buying or selling.
Typical Brokerage Firm Operations and Compliance Procedures
Typically, a principal of the broker dealer will also review a percentage of each days transactions to get an overview of activity and uncover situations that warrant further inquiry. This review typically consists of a review of 1) order tickets; 2) P&S Blotter used by the Order Room or the clearing firm transaction blotter; and 3) the appropriate exception reports.
Under Pressure: The 2017 Broker-Dealer Reference Guide
The 2017 Broker-Dealer Reference Guide reveals some striking information. For instance, the number of reps leaving firms in this year’s survey surpassed the number joining them.
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