Übersetzungen für „broker-dealer“ im Englisch » Deutsch-Wörterbuch

bro·ker-ˈdeal·er SUBST BÖRSE

broker-dealer

Börsenmakler(in) m (f)

broker-dealer

Broker(in) m (f) fachspr

Einsprachige Beispiele (nicht von der PONS Redaktion geprüft)

Englisch

At that level, a broker-dealer is prohibited from distributing excess capital to its owner.

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The net capital in the form of liquid assets of the broker-dealer, however, was not required to be separately escrowed for the exclusive benefit of customers.

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The broker-dealer adds to this total the amount of any qualifying subordinated debt it owes.

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The broker-dealer community quickly institutionalized, as a standard practice, the conducting of due diligence investigations of any stock offerings in which they involved themselves.

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The broker-dealer then delivers the proceeds to the issuing company where the cash can be used for a variety of reasons.

en.wikipedia.org

The report found closed-end funds and interval funds were not as susceptible because investors must go through broker-dealer or banks, which are subject to anti-money laundering regulations already.

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Although many broker-dealers are independent firms solely involved in broker-dealer services, many others are business units or subsidiaries of commercial banks, investment banks or investment companies.

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Each broker-dealer was required to issue an early warning if its net capital dropped to less than 120% of the broker-dealer's absolute dollar minimum requirement.

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The company is not a registered broker-dealer and thus is not involved in the transfer of funds.

en.wikipedia.org

In a soft dollar arrangement, the investment manager directs commissions generated by a client's or fund's transactions to a broker-dealer or other trading venue.

en.wikipedia.org