MLchartDataset catalogue

Broker-dealer

Term · Law · MLC-T-LAW-000787

A person or firm engaged in the business of buying and selling securities for their own account (as a dealer) and/or on behalf of their customers (as a broker). Broker-dealers are subject to extensive regulation by bodies such as the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA). They must register with the appropriate regulatory authorities.

Table 1. Record
IdentifierMLC-T-LAW-000787
FieldLaw
Record as JSON 
{
  "id": "MLC-T-LAW-000787",
  "term": "Broker-dealer",
  "field": "Law",
  "definition": "A person or firm engaged in the business of buying and selling securities for their own account (as a dealer) and/or on behalf of their customers (as a broker). Broker-dealers are subject to extensive regulation by bodies such as the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA). They must register with the appropriate regulatory authorities.",
  "url": "https://mlchart.com/terminology/law/broker-dealer/"
}

Record 591 of 5,439 in Law terminology (MLC-0107). Request the full dataset.