dealer也就是market maker, 是做市商的意思。在美国股市,dealer通过提供较低的买入价格和较高的卖出价格,在股市中做市,提供流动性。而普通交易者则需要通过与dealer进行交易来买卖股票。dealer的收益来源主要是买卖价差。 broker指的是经纪商。在美股和港股市场,个人投资者不能直接交易股票,一般是先把下单命令提交给br...
broker 经纪人，不过我觉得这个词用在海运条例中比较多，如custom broker报关行 dealer 偏向于经销商、商人，重在交易 如bond dealer就是股票交易人 stock broker 股票经纪人
Distinguish between the functions of a broker and those of a dealer, and explain how each is compensated. Describe some similarities and differences among broker-dealer networks, alternative trading systems (ats), and registered stock exchanges. What distinguishes an execution-only stockbroker fro...
What is the difference between a Broker-dealer (BD) and an Investment Adviser (IA)?Security Transaction:A security transaction occurs when two parties agree to make an exchange of the security. Simple transactions will occur at a fixed price when the price the buyer is willi...
Can an RIA be a Broker-Dealer? An investment firm can dual-register as both a registered investment advisor and a broker-dealer, allowing them to collect both fees and commissions. These "hybrid" RIAs have both a custodial partner and a broker-dealer partner through separate contractual arrangem...
There are many different players that take part in the market. These include buyers, sellers, dealers,brokers, andmarket makers. Some help to facilitate sales between two parties, while others help create liquidity or the availability to buy and sell in the market. A broker makes money by bri...
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MLPF&S is a registered broker-dealer, registered investment adviser, Member SIPC, and a wholly owned subsidiary of BofA Corp. Banking products are provided by Bank of America, N.A., and affiliated banks, Members FDIC, and wholly owned subsidiaries of BofA Corp. “Bank of America” and “...
note that somefinancial advisorsare not registered investment advisors; they are registered representatives who work for a broker-dealer. These financial advisors are bound by the same suitability standard as stockbrokers, and the only difference between the two might be the securities licenses they ...
focuses on regulating and licensing brokers and brokerage firms to safeguard investors at the transactional level. While the SEC has broad regulatory powers across the financial markets, FINRA's scope is narrower, concentrating on broker-dealer compliance and investor protections within securities trading...