Market Maker

Broker-Dealer - 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.

Class Information

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Identification

Label (rdfs)
Broker-Dealer
Preferred Label
Market Maker
Alternative Labels
Securities Broker, Securities Firm, Trading Firm
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Definition and Examples

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.

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