emma_grayson_journalist
Thu Feb 27 2025
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5 answers
1000
Why did the Securities & Exchange Commission charge 26 broker-dealers?
The Securities & Exchange Commission charged 26 broker-dealers due to alleged violations or improper practices related to securities trading and regulation.
StarlitFantasy
Mon Oct 07 2024
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6 answers
1236
How do broker-dealers make money?
I'm curious about the inner workings of the financial industry, specifically how broker-dealers generate revenue. Can you elaborate on the different ways they make money? Do they primarily rely on trading commissions, or are there other significant revenue streams at play? Are there any factors that influence the profitability of a broker-dealer, such as market conditions or the types of securities they trade? Understanding this will give me a better grasp of the industry and its players.
Carlo
Sun Sep 29 2024
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5 answers
1433
Do broker-dealers register with SEC or state?
Excuse me, but could you please clarify for me which authority broker-dealers are required to register with? Is it the Securities and Exchange Commission (SEC) at the federal level, or do they also need to register with individual states? I'm seeking clarity on the regulatory framework governing broker-dealers in the financial industry. Thank you for your assistance in elucidating this matter.
