Define financial brokerage firm


Regulation of Define financial brokerage firm Companies. Lexis Nexis Matthew Bender. British Columbia Securities Commission. A discount broker or an online broker is a firm that charges a relatively small commission by having its clients perform trades via automated, computerized trading platforms rather than by having an actual stockbroker assist with the trade.

Retrieved from " https: Brokerage firms Financial services. Brokerage firms serve a clientele define financial brokerage firm investors who trade public stocks and other securities, usually through the firm's agent stockbrokers. Comparison of define financial brokerage firm brokerages in the United States. The staff of this type of brokerage firm is entrusted with the responsibility of researching the markets to provide appropriate recommendations, and in doing so they direct the actions of pension fund managers and portfolio managers alike.

A discount broker or an online broker is a firm that charges a relatively small commission by having its clients perform trades via automated, computerized trading platforms rather than by having an actual stockbroker assist with define financial brokerage firm trade. These broker-dealers may be compensated in numerous ways and, like all broker-dealers in the United States, are subject to compliance with requirements of the US Securities and Exchange Commission and one or more self-regulatory organizationssuch as the Financial Industry Regulatory Authority FINRA. The forms of compensation may be sales loads from investors, or Rule 12b-1 define financial brokerage firm or servicing fees paid by the mutual funds.

The forms define financial brokerage firm compensation may be sales loads from investors, or Rule 12b-1 fees or servicing fees paid by the mutual funds. Lexis Nexis Matthew Bender. They help lower costs in two ways:. Retrieved from " https:

They help lower costs in two ways:. From Wikipedia, the free encyclopedia. Brokerage firms serve a clientele of investors who trade public stocks and other securities, usually through the firm's agent stockbrokers. This is usually not possible with a regular stockbroker. Views Read Edit View history.