Broker Dealers: Who Are They?
Broker-dealers are in the business of buying and selling securities. This can include stocks, bonds, mutual funds, and certain other investment products on behalf of its' customers (as broker), for its' own account (as dealer) or both. Broker-dealers must register with the securities and exchange commission and be members of the FINRA. These are the regulatory bodies that govern their conduct. To speak with a trusted, experienced business lawyer call: (646) 386-0990 or email: ross@rosspitcofflaw.com to set-up a free consultation. ...
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