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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.
A stock trader or equity trader or share trader, also called a stock investor, is a person or company involved in trading equity securities and attempting to profit from the purchase and sale of those securities. [1] [2] Stock traders may be an investor, agent, hedger, arbitrageur, speculator, or stockbroker.
In order to become stockbrokers, individuals must pass the General Securities Representative Qualification Examination, also called the Series 7 Exam. They will then be authorized to trade stock ...
Depiction of traders under the buttonwood tree A 1797 painting by Francis Guy.The building with the American flag is the Tontine Coffee House. Diagonally opposite (southeast corner, extreme right) [1] is the Merchant's Coffee House, where the brokers of the Buttonwood Agreement and others traded before the construction of the Tontine.
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A stock exchange is an exchange (or bourse) where stockbrokers and traders can buy and sell shares (equity stock), bonds, and other securities. Many large companies have their stocks listed on a stock exchange. This makes the stock more liquid and thus more attractive to many investors. The exchange may also act as a guarantor of settlement.
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]
Securities fraud, also known as stock fraud and investment fraud, is a deceptive practice in the stock or commodities markets that induces investors to make purchase or sale decisions on the basis of false information.