Broker Dealer Lawyers and help you when you register with FINRA. FINRA is the largest independent securities regulator in the U.S. Our chief role is to protect investors by maintaining the fairness of the U.S. capital markets.
Broker Dealers act as securities dealers or brokers, or perform both functions. A broker is an individual or firm who acts as an intermediary between a buyer and seller, usually charging a commission. A dealer is any person or company in the business of buying and selling securities for his or her own account, through a broker or otherwise.
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