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What does a broker do?

Brokerage firms serve as intermediaries between investors and the securities market, facilitating the buying and selling of financial instruments. They offer a range of services, including investment advice, trade execution, research, and account management.

Who regulates brokerage firms?

Brokerage firms are regulated by governmental and self-regulatory bodies to ensure fair practices and investor protection. In the United States, the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) are the primary regulatory bodies overseeing brokerage firms.

What does a stockbroker do?

They are licensed professionals who work for brokerage firms or financial institutions. Stockbrokers assist investors in navigating the stock market, providing research, analysis, and advice on investment opportunities. They execute trades, monitor portfolios, and keep clients informed about market trends and developments.

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