Security Broker
/ˈsɪkjʊrɪti ˈbroʊkər/
Definitions
- (n.) An intermediary authorized to buy and sell securities on behalf of clients, facilitating transactions in the financial markets under regulatory oversight.
The security broker executed the client's order to purchase shares of stock.
Forms
- security broker
- security brokers
Related terms
See also
Commentary
In drafting, clarify whether the term refers to the individual or the firm acting as broker, and note regulatory compliance obligations distinguishing security brokers from other financial professionals.
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.