Series 54: Brokers And Dealers

Taken from our Series 54 Online Guide

Brokers and Dealers

A broker is any person engaged in the business of effecting securities transactions for the accounts of others. Transactions by brokers are referred to as agency transactions because the broker is acting as an agent between a buyer and a seller. A dealer is any person engaged in the business of buying and selling securities for its own account (not including security-based swaps). Dealer transactions are often referred to as principal transactions

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