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  2. Broker-dealer - Wikipedia

    en.wikipedia.org/wiki/Broker-dealer

    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.

  3. Broker - Wikipedia

    en.wikipedia.org/wiki/Broker

    Some brokers, known as discount brokers, charge smaller commission, sometimes in exchange for offering less advice or services than full service brokerage firms. [2] A broker-dealer is a broker that transacts for its own account, in addition to facilitating transactions for clients. [3]

  4. Stockbroker - Wikipedia

    en.wikipedia.org/wiki/Stockbroker

    A stockbroker is an individual or company that buys and sells stocks and other investments for a financial market participant in return for a commission, markup, or fee.In most countries they are regulated as a broker or broker-dealer and may need to hold a relevant license and may be a member of a stock exchange.

  5. United States securities regulation - Wikipedia

    en.wikipedia.org/wiki/United_States_Securities...

    The Securities Act of 1933 regulates the distribution of securities to public investors by creating registration and liability provisions to protect investors. With only a few exemptions, every security offering is required to be registered with the SEC by filing a registration statement that includes issuer history, business competition and material risks, litigation information, previous ...

  6. What is a brokerage account? - AOL

    www.aol.com/finance/brokerage-account-213423964.html

    A brokerage account allows you to invest in stocks and other securities, while a bank account allows you to store money and earn interest via high-yield savings accounts or CDs. With a bank ...

  7. 11 Best Brokerage Accounts and Online Trading Platforms for 2024

    www.aol.com/finance/10-best-brokerage-accounts...

    In its Best Brokers of 2024 ranking, ... It is safe to keep more than $500,000 in a brokerage account as long as the brokerage is a member of the Securities Investor Protection Corporation, which ...

  8. Securities market participants (United States) - Wikipedia

    en.wikipedia.org/wiki/Securities_market...

    Electronic ticker monitor display, showing the bid and offer status of securities. Securities market participants in the United States include corporations and governments issuing securities, persons and corporations buying and selling a security, the broker-dealers and exchanges which facilitate such trading, banks which safe keep assets, and regulators who monitor the markets' activities.

  9. List of securities examinations - Wikipedia

    en.wikipedia.org/wiki/List_of_securities...

    The Securities Industry Training Institute East Africa (SITI) was conceptualized in 2008 to standardize and administer market education for the East African region. It is a joint effort involving the region's Central Depository & Settlement Corporation Ltd (CDSC) and the following exchanges:

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