broker-dealer的意思|broker-dealer的解释-里氏词典

broker-dealer

经纪自营商
经纪自营商

broker-dealer

[ noun ]
a financial specialist who trades for his own account and so acts both as a broker and principal
<noun.person>

broker-dealer \broker-dealer\ n.
a financial specialist who trades for his own account and so
acts both as a broker and principal.
[WordNet 1.5]

It is the first corporate bond offering on which Chase Securities has been lead manager since the broker-dealer received expanded underwriting powers from the Federal Reserve about three years ago.
The Securities and Exchange Commission accused Martin Saposnick, former head of a New York broker-dealer, of securities-law violations in the 1983 initial offering of North Atlantic Airlines Inc.
As previously reported, United Stockyards is discussing acquiring Arbitrage Securities Co., a broker-dealer, and a 49% interest in Plaza Securities Co., an arbitrage firm.
At the same time, individual investors in general purpose and broker-dealer funds continued to add to their holdings of safe, liquid assets."
Assets of 92 broker-dealer funds were down $294.3 million to $104.33 billion.
Security Capital Corp. said it agreed to sell its real estate and broker-dealer units for a total of $51 million in cash and senior subordinated notes.
Mr. Theodorous, without admitting or denying guilt, was further barred from handling or servicing the accounts of customers at any registered broker-dealer.
He allegedly had 11 customers liquidate their accounts and had the proceeds transferred to new accounts at another broker-dealer where he executed purchases to reinstate the previous positions.
"Individuals may have taken profits on a portion of their equity investments and channeled them into broker-dealer money market funds.
The law, which took effect Saturday, converted the four exchanges into private entities owned and managed by newly created brokerages and broker-dealer companies.
While pledging to continue the crackdown on insider traders, the new chairman also signals a get-tough policy on broker-dealer abuses.
Peter J. Cross was named president of Continental Equities Corp. of America, the New York-based broker-dealer unit of this insurance holding company.
Selig Zises is board chairman and chief executive of Integrated Resources; Jay Zises is chairman of the executive committee; and Seymour Zises is a managing executive with Integrated's broker-dealer subsidiary.
Assets of 93 broker-dealer funds fell $361.7 million to $108.01 billion.
Mr. Breeden worries about the link between a broker-dealer and the affiliated company.
The SEC said it had moved to protect the assets of the broker-dealer subsidiary by barring it from transferring net capital to the parent without specific approval.
But the trade group said assets 97 broker-dealer funds fell $1.41 billion to $114.88 billion.
The Securities and Exchange Commission recently moved to suspend the broker-dealer from making new underwriting commitments for two months after it found that Rooney Pace defrauded customers in a 1981 stock offering.
Most of the money flowed into funds in the broker-dealer category, he said, suggesting that investors liquidated some equity holdings because of recent turbulence in the stock market.
A Manufacturers spokesman said the bank has a substantial lending business to Wall Street firms, and he added, "All margin calls on loans to our broker-dealer customers are being met satisfactorily."
The 95 broker-dealer type funds reported a total intake of $1.04 billion, to $149.21 billion.
The assets of 90 broker-dealer funds fell $684.6 million to $103.50 billion.
Assets of 93 broker-dealer funds fell $78.8 million to $108.11 billion.
The broker-dealer subsidiary is involved in businesses such as stock and bond trading and underwriting, and merger and takeover advising.
Trades would be cleared by another CBoT subsidiary, the Clearing Corporation for Options and Securities. The venture would compete directly with New York's established government securities broker-dealer industry.
Smith Barney was the 16th-largest broker-dealer on Wall Street at the end of 1986, with total capital of $407.9 million, according to Institutional Investor magazine.
Mr. Sochet, a broker-dealer, declined to elaborate on the SEC filing.
"This is nothing new for Time Warner management," said Praveen Sharma, director of research at Asiel & Co., a broker-dealer that owns less than 100,000 shares.
Fitzgerald, DeArman & Roberts Inc., a regional securities broker-dealer in Tulsa, Okla., began trading under the symbol FITZ.
Mr. Krat also said the company has formally restructured as of last Friday to bring its broker-dealer unit, Integrated Resources Equity Corp., under its life-insurance holding company.

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