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A broker is a person or entity who arranges transactions between a buyer and a seller for a commission. Learn about different types of brokers, such as stockbrokers, real estate brokers, and broker-dealers, and their roles and regulations.
A broker-dealer is a financial institution that trades securities for its own account or on behalf of its customers. Learn about the main points of activity, functions, regulation and examples of broker-dealers in different countries.
A stockbroker is a professional who buys and sells stocks and other investments for a fee or commission. Learn about the origins, functions and licensing of stockbrokers in different countries and regions.
FINRA is a private corporation that regulates brokerage firms and exchange markets in the U.S. securities industry. It was formed in 2007 by the merger of NASD and the member regulation, enforcement, and arbitration functions of the New York Stock Exchange.
LPL Financial is a public company that provides financial services to over 17,500 advisors and manages over $1 trillion in assets. It was founded in 1989 and has grown through acquisitions and organic expansion, but has also faced some legal issues and fines.
A real estate agent is a person who represents sellers or buyers of real property, usually under a licensed broker. Learn about the categories of representation, the real estate licensing and education requirements, and the types of services that a broker can provide.
Investment banking is an advisory-based financial service for institutional investors, corporations, governments, and similar clients. It involves underwriting, issuing, trading, and researching securities, as well as mergers and acquisitions.
Learn about the definition, history, and scope of financial services, which are economic activities related to finance provided by various institutions. Explore the different styles, products, and sectors of financial services, such as commercial banking, investment banking, foreign exchange, and more.