broker-dealer
Britishnoun
Example Sentences
Examples are provided to illustrate real-world usage of words in context. Any opinions expressed do not reflect the views of Dictionary.com.
Kurt Supe is a CPA and retirement planner with CFD Investments Inc., a registered broker-dealer, and Creative Financial Designs Inc., a registered investment adviser.
From MarketWatch ● Jul. 16, 2026
When it comes to analysts, regulators focus on promoting transparency, says Val Dahiya, a partner in Morrison Foerster’s broker-dealer compliance and regulation and capital markets practice groups.
From Barron's ● Jan. 30, 2026
In addition, in accordance with securities regulations, industry professionals and family members associated with the broker-dealer of the transaction or the portfolio manager of the offering are restricted from IPO investments.
From The Wall Street Journal ● Oct. 3, 2025
KuCoin was also required to cease New York operations after falsely representing itself as a crypto exchange without registering as a securities and commodities broker-dealer, James said.
From Seattle Times ● Mar. 26, 2024
Treasuries could leave the market more exposed to cybersecurity risks, Barclays said, referring to the cyber hack of Industrial and Commercial Bank of China's U.S. broker-dealer last week.
From Reuters ● Nov. 15, 2023
Definitions and idiom definitions from Dictionary.com Unabridged, based on the Random House Unabridged Dictionary, © Random House, Inc. 2023
Idioms from The American Heritage® Idioms Dictionary copyright © 2002, 2001, 1995 by Houghton Mifflin Harcourt Publishing Company. Published by Houghton Mifflin Harcourt Publishing Company.
