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The broker is neither the owner nor the purchaser of the security but simply executes the trade on behalf of the customer. "Full-service" brokers may also recommend securities for purchase or sale by the customer.
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∙ 11y ago
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What is the primary source document for recording investing transactions?
Broker's advice. This document is issued by a broker and gives the exchange price of investing transactions.
Function of broker?
role of broker
What was a slave broker?
A broker is a party that arranges transactions between a buyer and a seller. Thus a slave broker was a person that negotiated the sale and purchase of slaves.
Can broker dealer for sale help me find a good broker?
If you are the owner of a small business or in a position where you will be making a lot of upcoming transactions a broker dealer could be very helpful.
What does a commercial broker do?
A commercial broker is a person who handles transactions between corporations. Much like a real estate broker, it's just that they deal with companies instead of individuals.
What was the security and exchange act?
The Securities Exchange Act of 1934 was created to provide governance of securities transactions on the secondary market (after issue) and regulate the exchanges and broker-dealers in order to protect the investing public.
What internet security software is available for purchase for a broker?
There are a number internet security software packages available to purchase for a broker. One can get software from 'Beyond Trust', 'Dream Broker' and 'Microsoft'.
Who acts as the honest broker among the many USG agencies to broker disagreements and achieve consensus among agencies on national security issues?
National Security Asvisor
How lond does a real estate broker need to keep real estate transactions in Texas?
3 yrs
How is supervision related to work control and evaluation?
According to 19 CFR 111.1 [Title 19 Customs Duties; Chapter I U.S. Customs and Border Protection, Department of Homeland Security; Department of the Treasury; Part 111 Customs Brokers; Subpart A General Provisions], responsible supervision and control means that degree of supervision and control necessary to ensure the proper transaction of the customs business of a broker, including actions necessary to ensure that an employee of a broker provides substantially the same quality of service in handling customs transactions that the broker is required to provide. While the determination of what is necessary to perform and maintain responsible supervision and control will vary depending upon the circumstances in each instance, factors which CBP will consider include, but are not limited to: The training required of employees of the broker; the issuance of written instructions and guidelines to employees of the broker; the volume and type of business of the broker; the reject rate for the various customs transactions; the maintenance of current editions of the CBP Regulations, the Harmonized Tariff Schedule of the United States, and CBP issuances; the availability of an individually licensed broker for necessary consultation with employees of the broker; the frequency of supervisory visits of an individually licensed broker to another office of the broker that does not have a resident individually licensed broker; the frequency of audits and reviews by an individually licensed broker of the customs transactions handled by employees of the broker; the extent to which the individually licensed broker who qualifies the district permit is involved in the operation of the brokerage; and any circumstance which indicates that an individually licensed broker has a real interest in the operations of a broker.
What is the role of a stock trading broker?
A stock trading broker's role is to buy and sell stocks and securities on behalf of someone else for a fee. A stock broker must have a professional designation depending on what securities they are selling and what services they provide their client.
What does a day trading broker do?
A day trading broker is an individual who is responsible for making whatever trades you want made to your funds on the market. They are there to process transactions for you and offer advice and help protect your investments.
