A broker-dealer (B-D) is a person or firm in the business of buying and sellingsecuritiesfor its own account or on behalf of its customers. 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 pri...
One of the first steps to become a boat dealer is to demonstrate an in-depth knowledge of the stylistic and mechanical properties of houseboats, cabin cruisers, motorboats, and many other types of commercial and recreational boats. The best way to acquire this knowledge is to pursue an associ...
Become a registered stock broker with the Institute of Bankers in Ireland. While this is not essential to become a stock broker in Ireland, representing a national body adds weight to your resume and gives you an organization to turn to if something goes wrong in your career or you need gui...
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 “...
“Investment Banking Affiliates”), including, in the United States, BofA Securities, Inc., which is a registered broker-dealer andMember of SIPC, and, in other jurisdictions, by locally registered entities. BofA Securities, Inc. is a registered futures commission merchant with the CFTC and a ...
offer a value-added service by providing information about jewelry insurance at the point of sale,” she notes. “The jeweler, however, needs to clearly communicate that the insurance information is provided by the insurance company so it does not imply that the jeweler is an insurance broker....
To sell Treasuries held in an account at TreasuryDirect, investors must transfer them to an account with a bank, broker, or dealer, and then place an order to sell them.13A Transfer Request Form must be completed to transfer Treasuries from a TreasuryDirect account.14Individuals can also redee...
Over the years, I havespoken to thousands of buyers and sellersof online businesses. Some have only ever bought or sold privately, others have only ever bought or sold through a third party such as a broker. It is also not uncommon for clients of FE International to attempt to sell themse...
You can buy gold ETFs or unit trusts through a licensed broker or bank. Keep in mind that you will incur the costs of managing the fund in both cases; however, ETF management fees are typically cheaper. To make sure the companies supporting the funds are well-capitalized and have a proven...
Of course, SIPC insurance only comes into play under circumstances in which the SIPC must intervene. This happens when it receives a referral from regulatory agencies such as the Securities and Exchange Commission (SEC) or the Financial Industry Regulatory Agency (FINRA). If a broker-dealer fails...