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Financial terms in "Brokerages"

1. distribution capability

2. Division of Market Regulation

3. full-service brokerage

4. five hundred dollar rule

5. Broker

6. Opening Automated Reporting System (OARS)

7. Corporate Securities Limited Representative

8. sell

9. discount broker

10. lending at a rate

11. contingent order

12. order

13. net capital ratio

14. five percent rule

15. Division of Investment Management

16. fidelity bond

17. bid wanted in competition (BWIC)

18. asset management

19. Scottrade

20. Rule 19c3

21. Qualified Institutional Buyer (QIB)

22. Securities Industry Association

23. clearing margin

24. demo account

25. fictitious credit

26. good this month (GTM)

27. average ticket

28. Long Market Value

29. insurance intermediary

30. Underwriting

31. Charles Schwab

32. special bond account

33. two-way market

34. selling away

35. direct access broker

36. cash account

37. limited discretionary account

38. initiate coverage

39. street broker

40. limit order information system

41. brokerage

42. margin level

43. Settlement agent

44. acknowledge

45. buying on margin

46. pc

47. Small Order Execution System

48. Maintenance Fee

49. contingent commission

50. pairing off

51. underwriting group

52. electronic blue sheet

53. central assets account

54. countermand

55. firm quotation

56. CFA exam

57. associate member

58. margin buying

59. no quote

60. bucketing

61. dual trading

62. free box

63. clearance

64. segregated account

65. Federal Call

66. wrap fee

67. house

68. discretionary proposition

69. central banker

70. brokerage allowance

71. forward premium (or discount)

72. retail broker

73. cage

74. contra broker

75. wealth management

76. cancel former order (CFO)

77. Multiple Listing Service

78. payment for order flow

79. in street name

80. New York Stock Exchange

81. Automated Order Entry System

82. online broker

83. negotiated commission

84. Series 7

85. lessee member

86. Investment Company Act of 1940

87. separately managed account

88. Custodian

89. NYSE

90. all or any part

91. Reuter dealing

92. Clearing firm

93. gross per broker

94. fail to deliver

95. institutional brokerage

96. limited discretion

97. inactive account

98. federal register

99. commission house

100. fairness opinion

Note: Maximum 100 records reached. Please narrow your search.

Featured term of the day

Definition / Meaning of

Brokerage Firm

Categories: Brokerages,

brokerage firms, also known as broker-dealers, are licensed by the securities and exchange commission (SEC) to buy and sell securities for clients and for their own accounts. When a brokerage firm sells securities it owns, it is said to be acting as a principal in that transaction.Firms frequently maintain research departments for their own and their clients' benefit. They may also provide a range of financial products and services, including financial planning, asset management, and educational programs.brokerage firms come in all sizes, from one- or two-person offices to huge firms with offices around the world. They are sometimes differentialed as full-service or discount firms, based on pricing structure and client relationships.Some brokerage firms exist entirely online, and nearly all firms offer you the option of placing orders electronically rather than over the telephone. In most cases, trading electronically is substantially less expensive than giving buy and sell orders by phone.

Most popular terms

1. Sovereign Wealth Funds
2. FACT Act (Fair And Accurate Credit Transactions Act)
3. Americans With Disabilities Act (ADA) Of 1990
4. Retaliation Claims
5. Prohibited Transactions
6. Net Asset Value (NAV)
7. Option Backdating
8. Cash Forward Contract
9. Dirty Bomb
10. Separate Account Fund

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