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A securities account, sometimes known as a brokerage account, is an account which holds financial assets such as securities on behalf of an investor with a bank, broker or custodian. Investors and traders typically have a securities account with the broker or bank they use to buy and sell securities. [1]
The 1934 Act defines "broker" as "any person engaged in the business of effecting transactions in securities for the account of others", and defines "dealer" as "any person engaged in the business of buying and selling securities for his own account, through a broker or otherwise". Under either definition, the person must be performing these ...
Brokerage accounts let investors buy or sell stocks, mutual funds and other assets. Learn about types of brokerage accounts and what to consider before opening one.
Gross Dealer Concession or GDC is the revenue to a brokerage firm when commissioned securities and insurance salespeople sell a product, whether it is an investment like stocks, bonds, or mutual funds, or insurance like life insurance or long term care insurance.
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Brokerage accounts are fairly simple to open through online brokers and can be a great way to invest in securities like stocks, bonds and ETFs beyond what you are contributing to retirement ...
In connection with an investigation into the SEC's role in the collapse of Bear Stearns, in late September, 2008, the SEC's Division of Trading and Markets responded to an early formulation of this position by maintaining (1) it confuses leverage at the Bear Stearns holding company, which was never regulated by the net capital rule, with leverage at the broker-dealer subsidiaries covered by ...
A brokerage account is a type of financial account that allows you to trade investments. With a brokerage account, you can buy and sell assets such as stocks, bonds, mutual funds, CDs and ETFs.