The Single Best Strategy To Use For dealer
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The expression broker-dealer is Utilized in U.S. securities regulation parlance to explain stock brokerages because The majority of them act as both agents and principals.
, whose meanings ranged from "freedom to act" to "unruly habits, wantonness." The Latin noun was itself derived with the verb licere
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Exclusive Factors Broker-dealers that are tied on to expenditure banking functions also interact during the underwriting of securities offerings. Every time a broker-dealer acts being an agent of the issuing firm, either being a principal underwriter of the stock or bond featuring, or like a member of your underwriting syndicate, they enter into a contractual arrangement, acting with a “company motivation” with the issuer that obligates them to distribute a particular number of the securities presented to the general public in exchange for an underwriting price.
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variants or fewer frequently licence licensed also licenced; licensing also licencing transitive verb
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Dealers need to be registered While using the Securities and Trade Fee (SEC) and ought to adjust to all point out necessities in advance of they will start off Performing.
One example is, someone who sells automobiles is known as an automobile dealer, whilst a one who offers in the sale of antiquities known as an antique dealer.
You should be advised the Motorized vehicle Division has implemented a variety of new processes to avoid fraudulent usage of car regulatory procedures. These procedures have resulted in an increase in application processing moments. Dealers may perhaps submit renewal applications around one hundred eighty times ahead of time in their license expiration date. We strongly advise submission of renewal applications as early as is possible.