FOLIO Ontology

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Identification

IRI:
https://folio.openlegalstandard.org/RDbDt5n4osubVafgim4zlMK
Label Broker-Dealer
Preferred Label Market Maker
Identifier N/A
Alternative Labels
Securities Broker Securities Firm Trading Firm

Definition

A Broker-Dealer is a financial firm or individual that buys and sells securities on behalf of clients (acting as a broker) or for its own account (acting as a dealer). Broker-dealers are essential in facilitating securities transactions, providing market liquidity, and offering investment advice and services to individual and institutional investors.

Examples

  • • Goldman Sachs & Co. LLC: An investment bank with broker-dealer operations facilitating securities trading and market making.
  • • Morgan Stanley & Co. LLC: A global financial services firm offering broker-dealer services among other financial solutions.

Class Relationships

Sub Class Of

Is Defined By

N/A

See Also

Parent Class Of 0

  • • None

Class Hierarchy Visualization

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Additional Information

Metadata

Comment

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Description

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Notes

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Editorial Information

History Note

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Editorial Note

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Deprecated

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Source and Origin

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