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What Is a Broker-Dealer (B-D), and How Does It Work?

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What Is a Broker-Dealer (B-D), and How Does It Work?

A broker-dealer is a financial entity involved in trading securities and fulfilling several important functions in the financial industry. They act as both agents and principals in executing orders and trading for their own accounts. Broker-dealers may be tied directly to investment banking operations and engage in the underwriting of ...

2.3K viewsDec 20, 2023

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