Securities Firm
/ˈsɪkjʊərɪtiz fɜrm/
Definitions
- (n.) A financial institution engaged in the issuance, buying, selling, and trading of securities on behalf of clients or for its own account.
The securities firm advised its client on the purchase of corporate bonds.
- (n.) An entity registered with regulatory authorities to operate in securities markets, subject to compliance with securities laws and regulations.
The securities firm must register with the SEC to legally underwrite public offerings.
Forms
- securities firm
- securities firms
Related terms
See also
Commentary
The term typically refers to registered entities in capital markets; usage varies by jurisdiction and regulatory context.
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.