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The NASD was founded on September 3, 1936 as Investment Bankers Conference, Inc. [9] and, on August 7, 1939, was registered under the name National Association of Securities Dealers, Inc. [10] as a national securities association with the SEC under authority granted by the 1938 Maloney Act amendments to the Securities Exchange Act of 1934, [11] which allowed it to supervise the conduct of its ...
The Securities Investor Protection Corporation (SIPC / ˈsɪpɪk /) is a federally mandated, non-profit, member-funded, United States government corporation created under the Securities Investor Protection Act (SIPA) of 1970 [ 3 ] that mandates membership of most US-registered broker-dealers. Although created by federal legislation and overseen ...
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. [1]
Cleveland, Ohio. Area served. Regional, Upper Midwest. McDonald & Co. was a full-service investment firm based in Cleveland, Ohio, established in 1927. Internally, it was referred to as "McD" (mick-D). It was sold to hometown bank KeyCorp in 1998, but was eventually sold to the U.S. investment arm of Swiss banking giant UBS AG in 2007.
The Nasdaq Stock Market (/ ˈ n æ z d æ k / ⓘ; National Association of Securities Dealers Automated Quotations) is an American stock exchange based in New York City.It is the most active stock trading venue in the U.S. by volume, [3] and ranked second on the list of stock exchanges by market capitalization of shares traded, behind the New York Stock Exchange. [4]
TradeStation Group, Inc. is the parent company of online securities and futures brokerage firms and trading technology companies. It is headquartered in Plantation, Florida, and has offices in New York; Chicago; Richardson, Texas; London; Sydney; and Costa Rica. TradeStation is best known for the technical analysis software and electronic ...
Cowen and Company, founded in 1918, is the broker-dealer business of Cowen Inc. Cowen and Company offers a range of investment banking services, including: equity, equity-linked and debt financing's, mergers and acquisitions and advisory services. Cowen and Company also provides proprietary research, including its Ahead of the Curve series ...
Inter-dealer broker. An Inter-dealer broker (IDB) is specialist financial intermediary that facilitates transactions between broker-dealers, dealer banks and other financial institutions rather than private individuals. IDBs act as intermediaries in the financial markets working to facilitate transactions between broker/dealers and dealer banks ...