Tommaso
Sun Oct 13 2024
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7 answers
1150
What is a broker-dealer for dummies?
I'm a complete beginner and I want to understand what a broker-dealer is. Can someone explain it to me in simple terms, like I'm five?
AndrewMiller
Fri Oct 04 2024
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0 answers
0
Who is the largest independent broker-dealer?
Could you please clarify for me who is currently considered the largest independent broker-dealer in the financial industry? I'm particularly interested in understanding the size of their operations, their market share, and any notable achievements or milestones they've achieved that have contributed to their success as a leading independent broker-dealer. Additionally, I'm curious about their areas of specialization and how they differentiate themselves from other broker-dealers in the market.
Daniela
Wed Oct 02 2024
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5 answers
1337
What triggers broker-dealer registration?
Could you elaborate on the circumstances that prompt a broker-dealer to seek registration? Are there specific thresholds or actions that necessitate this process? How does the regulatory body determine when registration becomes mandatory? Does the scope of a broker-dealer's activities factor into the decision-making process? Is there a timeline for compliance or penalties for failing to register in a timely manner?
