What is the difference between a broker and a dealer?

Answer Broker and dealers are people involved in the buying and selling of securities. While similar, the jobs involve different sets of activities, with brokers primarily executing trades on behalf of ot... Read More »

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What is the difference between a broker-dealer and an investment adviser?

Confusion among individual investors has long existed over the distinction between broker-dealer and investment-adviser functions. Regulatory authorities attempted to address these two distinctions... Read More »

What is a clearing broker dealer?

A clearing broker dealer is a financial professional responsible for acting as a broker (handling transactions and investment accounts between investors and clearing houses) and a dealer (handling... Read More »

How to Become an Independent Broker Dealer?

An independent broker-dealer is legally authorized to sell securities and investment products without acting as an agent of a larger organization. The requirements for becoming a broker-dealer are ... Read More »

Broker Dealer Regulations?

The U.S. Securities Exchange Commission, Division of Trading and Markets, oversees broker-dealer regulations and registration. Section 3(a)(4)(A) loosely defines a broker as any person engaged in t... Read More »