• Are Self Regulatory Organizations. Examples of this are the financial exchanges, industry associations, and the NASD.

 Embedded terms in definition
 Referenced Terms
 Broker dealer: A person or firm in the business of buying and selling securities. Also known as an Agent when buying securities and a Principal when selling them; one person may act as either, but not in the same transaction. Broker-dealers normally must register with the SEC, the appropriate Sros and any state in which they do business. See also: Broker.

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"Green" Banking: Saving the Environment as You Save and Borrow Money: You're probably already recycling paper, glass and plastic. But did you know you also may be able to help save the environment as you do your banking? Here are options that may be available from your bank. More...

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