| 单词 | broker-dealer |
| 释义 | broker-dealer noun[C] (alsobroker/dealer)ukusFINANCE,STOCK MARKET apersonor afinancialcompanythatactsboth as abroker, makinginvestmentsforcustomers, and as adealermakinginvestmentsfor themselves: We are one of the country'sleadingbroker-dealers,supportingindependentinvestmentadvisorsnationwide. Examplesofbroker-dealerbroker-dealer All securities in mirroring accounts are purchased in the clients name and held in custody at an independentbroker-dealer. From Wikipedia  This example is from Wikipedia and may be reused under a CC BY-SA license.Eachbroker-dealerfirm is required to have its own barriers and to enforce them on its own. From Wikipedia This example is from Wikipedia and may be reused under a CC BY-SA license.In a soft dollar arrangement, the investment manager directs commissions generated by a client's or fund's transactions to abroker-dealeror other trading venue. From Wikipedia This example is from Wikipedia and may be reused under a CC BY-SA license.For a variety of reasons, block trades can be more difficult than other trades and often expose thebroker-dealerto more risk. From Wikipedia This example is from Wikipedia and may be reused under a CC BY-SA license.Thebroker-dealersells the issuing company's shares in the open market and receives cash proceeds from the transaction. From Wikipedia This example is from Wikipedia and may be reused under a CC BY-SA license.Thebroker-dealerthen delivers the proceeds to the issuing company where the cash can be used for a variety of reasons. From Wikipedia This example is from Wikipedia and may be reused under a CC BY-SA license.This is in contrast to securities that are purchased by abroker-dealeror other financial intermediary for resale or short term speculation. From Wikipedia This example is from Wikipedia and may be reused under a CC BY-SA license.Thebroker-dealercommunity quickly institutionalized, as a standard practice, the conducting of due diligence investigations of any stock offerings in which they involved themselves. From Wikipedia This example is from Wikipedia and may be reused under a CC BY-SA license.Madoff operated as abroker-dealerwho also ran an asset management division. From Wikipedia This example is from Wikipedia and may be reused under a CC BY-SA license.At that level, abroker-dealeris prohibited from distributing excess capital to its owner. From Wikipedia This example is from Wikipedia and may be reused under a CC BY-SA license.The company is not a registeredbroker-dealerand thus is not involved in the transfer of funds. From Wikipedia This example is from Wikipedia and may be reused under a CC BY-SA license.Thebroker-dealeradds to this total the amount of any qualifying subordinated debt it owes. From Wikipedia This example is from Wikipedia and may be reused under a CC BY-SA license.Upon providing such notice, abroker-dealerwould become subject to closer supervision and would be prohibited from making capital distributions. From Wikipedia This example is from Wikipedia and may be reused under a CC BY-SA license.Eachbroker-dealerwas required to issue an early warning if its net capital dropped to less than 120% of the broker-dealer's absolute dollar minimum requirement. From Wikipedia This example is from Wikipedia and may be reused under a CC BY-SA license.The net capital in the form of liquid assets of thebroker-dealer, however, was not required to be separately escrowed for the exclusive benefit of customers. From Wikipedia This example is from Wikipedia and may be reused under a CC BY-SA license.These examples are from corpora and from sources on the web. Any opinions in the examples do not represent the opinion of the Cambridge Dictionary editors or of Cambridge University Press or its licensors. |
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