Before deciding who to use for help with your investing, learn what brokers, dealers, and broker-dealers are and what services they provide.

The term broker-dealer is used in U.S. securities regulation parlance to describe stock brokerages because most of them act as both agents and principals.

A broker-dealer is a financial firm that buys and sells investments for its customers as a broker, trades investments in its own account as a dealer, or does both. Broker-dealers can offer a ...

A broker-dealer is one of the most important people or firms you’ll work with as you invest your money. Broker-dealers are the professionals who buy and sell securities for clients while ...

What Does a Broker Dealer Do? Broker-dealers combine the roles of a broker and a dealer in the financial industry. As a broker, they act as an intermediary between buyers and sellers, ...

What does a broker do? Brokers can take on two separate levels of responsibility. On the one hand, they can help clients buy and sell real estate - just like a traditional agent.

Change is coming. In addition to the amped up regulation that already applies to investment bankers and others through the Patriot Act, FINRA recently embraced its Rule 2090 as an additional level ...

The post Custodian vs. Broker-Dealer: What’s the Difference for Your Firm In the world of finance and investment, custodians and broker-dealers play crucial roles in safeguarding and ...

Broker-dealers obviously need to be on their guard for both types of cyberattacks. 2020 was the year that independent broker-dealers needed to rely on technology more than ever, with home-office ...