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...
Opinions aside, a mortgage broker is an intermediary that works between the borrower and the bank to help the former obtain home loan financing. Instead of contacting a retail bank or mortgage lender directly, you have the option of enlisting a broker instead, who will act as your liaison and...
What are the Broker/Dealer Requirements for AML Compliance?Brokers
What Is Depreciation? What Is Due Diligence? What Is the Debt-Service Coverage Ratio? What Is a Dealer? What Is a Demand Deposit? What Are Demographics? What Is Days Payable Outstanding (DPO)? What Is a Digital Wallet? What Is Disbursement?
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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...
What is a pattern day trader? If you make four or more day trades over the course of any five business days, and those trades account for more than 6% of your account activity over that time period, your margin account will be flagged as a pattern day trader account. ...
“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 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 executes orders on behalf of its clients, and as a dealer or principal when it trades for its...
An executing broker is abrokerordealerthat processes a buy or sell order on behalf of a client. For retail customers, the order sent to an executing broker is first assessed for appropriateness (automated through parameters for a particular client), and if the order is accepted, the executing...