broker-dealer

noun

1. another name for stockbroker

Example Sentences

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.

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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.

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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.

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ICBC's inability to access its systems meant securities from the Chinese firm's repo trades were getting delivered to BNY for settlement, but no cash was coming in from the broker-dealer, one of the sources said.

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"In general, the event had a limited impact on the market," said Scott Skrym, executive vice president for fixed income and repo at broker-dealer Curvature Securities.

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