Letter B
securities
Broker-Dealer
A person or firm engaged in the business of buying and selling securities for its own account or on behalf of customers, regulated by FINRA and the SEC.
Related terms
More legal terms starting with B
Looking for citation help? How to cite law · Citation methodology
See also: Full glossary index
This is legal information, not legal advice. Laws vary by jurisdiction and change frequently. Always verify current law with official sources and consult a licensed attorney in your jurisdiction for advice on your specific situation.