WebApr 25, 2024 · A broker-dealer is an individual or a firm that's in the business of buying and selling securities. They can act as either agents or dealers. As an agent, a broker-dealer helps a customer buy or sell securities. As a dealer, a broker-dealer is one of the parties doing the buying or selling. To become a broker-dealer, you must be licensed and ... WebAug 27, 2013 · This requirement also addresses a practice used by some clearing broker-dealers when one of their introducing brokers is facing the financial difficulty of taking a guaranty or assumption of liability by the introducing broker's owner, corporate parent, or affiliate. This then allows the introducing broker-dealer to take the liability off its ...
Clearing Arrangements for Introducing Broker-Dealers
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SEC.gov Responses to Frequently Asked Questions Concerning Risk ...
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