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Broker Dealer




Other than a bank, any individual or firm that is in the business of buying and selling securities for itself and others. Called an agent or broker when buying securities and a principal or dealer when selling them. The SEC requires that broker/dealers not only register with the SEC but also with the states in which they conduct business.




 
RELATED PRODUCTS

Salary Assessor

Reports "up to the present day" competitive wage, salary, and incentive survey data. Provides salary ranges and median/means for over 6,100 positions in 370 U.S. and Canadian metro areas.


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