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In financial services, a broker-dealer is a natural person, When executing trade orders on behalf of a customer, the institution is said to be acting as a broker.
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The Commercial Book-Entry System At the next tier, each broker, dealer, and financial institution maintains book-entry accounts for individual customers,
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“Formerly known as a bankers blanket bond, and sometimes referred to as a fidelity bond, the financial institution bond as it is commonly known, is simply an
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Your financial institution partners with IBA Securities, organization known as a “broker-dealer.” Broker Dealer Financial Services Corp.,
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Rule 3210 (Accounts At Other Broker-Dealers and Financial (Accounts at a Financial Institution Other Any broker-dealer that is registered