Betekenis van:
broker-dealer

broker-dealer
Zelfstandig naamwoord
    • a financial specialist who trades for his own account and so acts both as a broker and principal

    Hyperoniemen


    Voorbeeldzinnen

    1. A copy of the contract or evidence of the contract (or a declaration certifying its existence) between the producer, new producer or collector and the broker or dealer, in the event that the broker or dealer acts as notifier.
    2. Broker-dealer services on the Lisbon Stock Exchange may be provided by broker and dealer companies incorporated in Portugal or by branches of investment firms authorised in another EC country and authorised in their home country to provide those services.
    3. As a particularly large disinvestment Germany mentions the sale of LBBW Securities LLC (broker/dealer), […] and LRI Invest SA.
    4. For the application of paragraph 6, the market values are the quoted prices when such prices are available from an exchange, dealer or a broker or similar entities.
    5. PT: The services of venture capital may not be provided by branches of venture capital companies having their head office in a non-EC country. Broker-dealer services on the Lisbon Stock Exchange may be provided by broker and dealer companies incorporated in Portugal or by branches of investment firms authorised in another EC country and authorised in their home country to provide those services.
    6. As a particularly large disinvestment Germany mentions the sale of LBBW Securities LLC (broker/dealer), […] and LRI Invest SA. LBBW Securities LLC is a member of the US National Association of Securities Dealers and has a licence there for equity sales und private placements.
    7. Its activities in Canada were sold in early 2009. ING Insurance Americas offers life and non-life insurance, retirement services (primarily defined contribution plans), annuities, mutual funds, broker-dealer services and institutional products, including group reinsurance and institutional asset management products and services.
    8. Should a notifier specified in (iv) or (v) fail to fulfil any of the take-back obligations set out in Articles 22 to 25, the original producer, new producer or licensed collector specified in (i), (ii) or (iii) respectively who authorised that dealer or broker to act on his/her behalf shall be deemed to be the notifier for the purposes of the said take-back obligations.