• 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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