Broker-Dealer Firm Registration | FINRA.org
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Broker-Dealer Firm Registration
The FINRA broker-dealer (BD) registration process covers the firm’s full life-cycle, from meeting initial membership standards to updating and renewing its registration. This page offers guidance to broker-dealer firms seeking to become FINRA members, including details on the various filing and qualification requirements, as well as what member firms need to do to expand their business or withdraw their registration
This guide outlines the standards and procedural guidelines for the membership application and registration process for BD firms.
Firms must file a Form BD amendment and/or a Continuing Membership Application (CMA) depending on the type of update.
BDs must use Form BR to register each of their branch offices with FINRA, the NYSE and states.
Every year, BD firms must renew their registration with FINRA, other SROs, and all appropriate states/jurisdictions.
BDs may file full or partial withdrawals of registration from FINRA, other SROs, the SEC and all states/jurisdictions. Learn how to file Form BDW and how to amend Form BD.broker和dealer的区别_百度知道
broker和dealer的区别
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broker是经纪人、dealer是经销商。dealer读音英&['diːlə]&&美&['dilɚ]&释义n. 经销商；商人n. 发牌员n. [俚语]毒品贩子，贩毒者短语securities dealer&证券交易商 ;&[金融]&证券商 ; 证券经纪 ; 证券买卖商chief dealer&首席交易员stock dealer&股票交易员 ; 股票生意员例句In the end&I&cut&the&dealer&down by&another&￡5.00.&最后，我使这个商人又降价五英镑。&I&would like&you&to&contact&the&auto&dealer&where&I&bought the&car,&explaining&your&error.&我希望你们联系一下我买车的汽车经销商，对你们的错误做出解释。 &
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经纪人（或实体），其代理人收入是靠以买卖产生的佣金为收入，而不具有买卖的财产所有权，买卖过程中，交易员都可以称为Dealer, 它的特征是以自己身份（或自己代表的公司）做购买和销售，以赚取差价而获利。Dealer -
参与买卖的商人、中间人满意请采纳Broker - 是帮别人买卖的代理人，他的财产所有权发生变化
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The stock market is a complex financial entity made up of many different businesses and participants. Brokers, dealers and broker-dealers make up a large portion of stock market activity. Brokers and dealers engage the public and are often an intermediary between investors and the stock market. These businesses open the doors for nearly anyone to own stocks.
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The stock market is a large public auction that sells equity shares in corporations. When a company goes public, they issue shares that represent percentage ownership in the corporation. These shares trade on a public exchange for anyone to buy. The exchange may be a live trading floor, such as the New York Stock Exchange (NYSE), or an electronic market, such as the Nasdaq, but the auction mechanism is at the heart of all stock transactions. The prices of shares are affected by supply and demand ratios.
While anyone can purchase stocks, few are actually able to walk into a stock exchange and buy shares directly. Likewise, an investor cannot approach a company directly to purchase equity. Other businesses must interact with the stock exchange on behalf of the public. Brokers and dealers are the primary businesses that accomplish this. They have direct access to the stock market, and they use this access to profit from the service of letting the public participate.
A broker's primary service is to buy and sell stocks on an exchange for members of the investing public who wish to own part of a company. When anyone decides to participate in the stock market, a broker is usually the first place they go. An account is set up for the client through which she trades stocks. The broker accepts stock orders from the client and then executes these directly on the exchange. A business that engages solely in broker services interacts with the stock market for its clients only. Every transaction made affects a client's account. For this reason, a broker is often referred to as an "agent."
A stock market dealer trades equities under its own name. The business itself maintains stock holdings that are not in the name of any client. The dealer may actually be a client of another broker, so as to trade these stocks for its own account. However, unlike a "trader," which maintains her own account with a broker that affects no one else, a "dealer" may use its portfolio to offer services to the public. "Market makers" are dealer businesses that continuously buy or sell certain securities from the public, using their own holdings for these transactions. Thus they are in the business of dealing securities independent of an exchange.
Many companies engage in both broker and dealer operations, making them broker-dealers. The securities these companies transact for the public may come directly from an exchange or from the company's own holdings. This depends on the business model of the company and type of transaction executed. Most of the well-known brokers are broker-dealers. This offers flexibility that often benefits clients. Such a company can sell its own holdings to the client which can increase execution time since the order is not actually placed at the exchange.
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Advertisementbroker怎么解释？dealer的意思是什么？_百度知道
broker怎么解释？dealer的意思是什么？
&nbsp。dealer读音英&['diːlə]&&美&nbsp.&[金融]&explaining&bought the&to&I&would like&you&证券商 ; 证券经纪 ;[&#39.00.&最后，我使这个商人又降价五英镑;dilɚ]&I&cut&dealer&the&dealer&down by&contact&the&释义n. 经销商。&auto&nbsp. [俚语]毒品贩子；商人n. 发牌员n，贩毒者短语securities dealer&证券交易商 ;your&我希望你们联系一下我买车的汽车经销商; 证券买卖商chief dealer&首席交易员stock dealer&股票交易员 broker是经纪人、dealer是经销商，对你们的错误做出解释。 &nbsp,&where&I&another&￡5; 股票生意员例句In the end&nbsp
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