n. 1.()() ……

n. 1. 2. 3. ……

n. 1.()() 2.()[] 3. a street [curbstone] broker …

n. 1. 2. 3. a dealer in grocery a wholesale [retail] dealer [] dealer aids [helps] () a fair [plain] dealer a double-dealer …

The company also has a bank overseen by the office of thrift supervision ; an insurance unit ; a subsidiary that provides borrowers with loan closing services like appraisals and flood certifications ; and a

Through this structure , banks have a less restricted ability to purchase or establish securities

an d have the new options of purchasing insurance companies . since 1990s , the model of financial holding company developed quickly

We also consult with companies in their public and private funding , valuation , market entry strategy , mergers and acquisitions and provides introduction to

, market makers , financial public relations firms , attorneys that specializes in securities laws , and accountants

Swift : society for worldwide interbank financial telecommunication : a cooperative organisation created and owned by banks that operates a network which facilitates the exchange of payment and other financial messages between financial institutions ( including

and securities companies ) throughout the world

Csfb and ssb engaged in inappropriate spinning of hot initial public offering allocations in violation of sro rules requiring adherence to high business standards and just and equitable principles of trade , and the firms books and records relating to certain transactions violated the

record – keeping provisions of section 17 of the securities exchange act of 1934 and sro rules nyse rule 440 and nasd rule 3110

a financial specialist who trades for his own account and so acts both as a broker and principal

A broker-dealer is a term used in United States financial services regulations. It is a natural person, a company or other organization that trades securities for its own account or on behalf of its customers.