Series 99: Broker-dealer

Taken from our Series 99 - FINRA Operations Professional Qualification Examination

Definition of the term Broker-dealer...

a firm or an individual that buys and sells securities for others or its own account.

Since you're reading about Series 99: Broker-dealer, you might also be interested in:

Solomon Exam Prep Study Materials for the Series 99
Please Enable Javascript
to view this content!