broker-dealer

British  

noun

1. another name for stockbroker

---

Example Sentences

He wrote that while private-equity firms might be less financially vulnerable than the former investment banks, their credit funds and broker-dealer operations could “pose systemic risk concerns.”

From Barron's

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

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

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

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.

From Reuters