Securities Broker
/ˈsiːkjʊrɪtiz ˈbroʊkər/
Definitions
- (n.) An individual or firm licensed to buy and sell securities on behalf of clients, acting as an intermediary between buyers and sellers in financial markets.
The securities broker executed the trade on behalf of the investor.
Forms
- securities broker
- securities brokers
Related terms
See also
Commentary
In legal drafting, clearly distinguish between 'securities broker' and 'broker-dealer,' as the latter includes firms acting in both capacities and may be subject to additional regulatory requirements.
This glossary is for general informational and educational purposes only. Definitions are jurisdiction-agnostic but reflect terminology and concepts primarily drawn from English and American legal traditions. Nothing herein constitutes legal advice or creates a lawyer-client relationship. Users should consult qualified counsel for advice on specific matters or jurisdictions.