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A brokerage firm that buys and sells securities on its own account as a principal before selling the securities to customers.
dealer, agent, negotiator, traffickerView synonyms
- ‘Generally employed by broker-dealers and investment banks, sell-side analysts are a part of the retail investment division.’
- ‘If you feel a particular security's price, let's say the stock of a struggling company, will fall, you can borrow the stock from your broker-dealer, sell it and get the proceeds from the sale.’
- ‘If you're registered with the SEC as a broker-dealer, you are allowed to set up an automated stock market that sells exchange-listed stocks, without actually starting an exchange.’
- ‘Jersey City, New Jersey-based OptiMark says it has signed up about half of the 200 largest institutional investors in the country and 60 broker-dealers to learn the system.’
- ‘Under discussion: rules requiring broker-dealers to put up more capital and to tell investors more about the risks when selling them penny stocks.’
- ‘Research published by BNP Paribas shows that at the end of last year, the top five US broker-dealers - Goldman Sachs, Morgan Stanley, Merrill Lynch, Lehman Brothers and Bear Stearns - cut staff expenses by 13% year over year.’
- ‘The SIA boasts a membership of some 700 firms that include investment banks, broker-dealers and mutual fund companies.’
- ‘‘Advisers might choose broker-dealers on the basis of soft-dollar products and services, not trade execution quality,’ the General Accounting Office noted in a June report.’
- ‘That kind of strategic positioning, he adds, allows Schwab to avoid risks, such as trading or derivatives risks, that other broker-dealers put on their balance sheets.’
- ‘In this way, LTCM threatened the ability of the major U.S. banks and Wall Street broker-dealers to meet their payment and settlement obligations.’
- ‘It has now requested details from large broker-dealers, transfer agents, and the 80 largest U.S. mutual-fund families on their trading practices.’
- ‘It doesn't provide information about the size of supply or demand for stocks at various prices from either the ECNs registered as broker-dealers with the NASD, or from the order books of market-making dealers.’
- ‘US investors who want European stocks must at present go through registered broker-dealers in Europe to buy the securities.’
- ‘Pangione was now a registered investment adviser himself, working at Cantella Securities Inc., a small broker-dealer in Boston.’
- ‘Some entities, such as broker-dealers and investment companies, account for most of or all of their assets and liabilities at fair value, with changes therein flowing through earnings (referred to as ‘mark-to-market’ accounting).’
- ‘During last week, concerns were also voiced about a potential hedge fund debacle in the making - suggesting that a large broker-dealer may have sustained some serious trading losses for its own accounts.’
- ‘Some of the 12-1 fees may go a broker-dealer or other intermediary who helped the fund land a slot in your 401 plan.’
- ‘These markets deal with transactions between broker-dealers and large institutions through over-the-counter electronic networks.’
- ‘But if NASDAQ's lower rates prove to be enticing to broker-dealers, they could shift millions of dollars in business back to NASDAQ - and cause a world of hurt for Archipelago.’
- ‘Through Morgan Stanley Dean Witter, Allstate sells annuities under the Northbrook name, and through banks and broker-dealers it sells under the Glenbrook name.’
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