Securities Dealer
/ˈsɛkjʊərɪtiz dɪˈləːr/
Definitions
- (n.) A person or entity engaged in the business of buying and selling securities for their own account or on behalf of clients.
The securities dealer facilitated the purchase of corporate bonds for the client.
- (n.) An intermediary authorized to trade securities and provide liquidity in financial markets under regulatory supervision.
Securities dealers must comply with strict reporting requirements imposed by regulatory authorities.
Forms
- securities dealer
- securities dealers
Related terms
See also
Commentary
The term refers broadly to regulated professionals trading securities; distinctions between dealers and brokers affect legal obligations and compliance 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.