| 词汇 | broker-dealer |
| 释义 | broker-dealer noun[ C ] (alsobroker/dealer)ukus FINANCE, STOCK MARKET a person or a financial company that acts both as a broker, making investments for customers, and as a dealer making investments for themselves: We are one of the country's leading broker-dealers, supporting independent investment advisors nationwide. Examples of broker-dealerbroker-dealer All securities in mirroring accounts are purchased in the clients name and held in custody at an independent broker-dealer. From Wikipedia This example is from Wikipedia and may be reused under a CC BY-SA license. Each broker-dealer firm is required to have its own barriers and to enforce them on its own. From Wikipedia This example is from Wikipedia and may be reused under a CC BY-SA license. In a soft dollar arrangement, the investment manager directs commissions generated by a client's or fund's transactions to a broker-dealer or other trading venue. From Wikipedia This example is from Wikipedia and may be reused under a CC BY-SA license. For a variety of reasons, block trades can be more difficult than other trades and often expose the broker-dealer to more risk. From Wikipedia This example is from Wikipedia and may be reused under a CC BY-SA license. The broker-dealer sells the issuing company's shares in the open market and receives cash proceeds from the transaction. From Wikipedia This example is from Wikipedia and may be reused under a CC BY-SA license. The broker-dealer then delivers the proceeds to the issuing company where the cash can be used for a variety of reasons. From Wikipedia This example is from Wikipedia and may be reused under a CC BY-SA license. This is in contrast to securities that are purchased by a broker-dealer or other financial intermediary for resale or short term speculation. From Wikipedia This example is from Wikipedia and may be reused under a CC BY-SA license. The broker-dealer community quickly institutionalized, as a standard practice, the conducting of due diligence investigations of any stock offerings in which they involved themselves. From Wikipedia This example is from Wikipedia and may be reused under a CC BY-SA license. Madoff operated as a broker-dealer who also ran an asset management division. From Wikipedia This example is from Wikipedia and may be reused under a CC BY-SA license. At that level, a broker-dealer is prohibited from distributing excess capital to its owner. From Wikipedia This example is from Wikipedia and may be reused under a CC BY-SA license. The company is not a registered broker-dealer and thus is not involved in the transfer of funds. From Wikipedia This example is from Wikipedia and may be reused under a CC BY-SA license. The broker-dealer adds to this total the amount of any qualifying subordinated debt it owes. From Wikipedia This example is from Wikipedia and may be reused under a CC BY-SA license. Upon providing such notice, a broker-dealer would become subject to closer supervision and would be prohibited from making capital distributions. From Wikipedia This example is from Wikipedia and may be reused under a CC BY-SA license. Each broker-dealer was required to issue an early warning if its net capital dropped to less than 120% of the broker-dealer's absolute dollar minimum requirement. From Wikipedia This example is from Wikipedia and may be reused under a CC BY-SA license. The net capital in the form of liquid assets of the broker-dealer, however, was not required to be separately escrowed for the exclusive benefit of customers. From Wikipedia This example is from Wikipedia and may be reused under a CC BY-SA license. See all examples of broker-dealer These examples are from corpora and from sources on the web. Any opinions in the examples do not represent the opinion of the Cambridge Dictionary editors or of Cambridge University Press or its licensors. |
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