Question
What is an investment broker?
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16th Nov 2009 by Joseph Pousada
An investment broker is a person who brings a buyer and seller together for a particular investment. In the United States this person would need to be licensed to place orders on behalf of customers. There are various specialized licenses but, the most comprehensive one offered by FINRA (Financial Industry Regulatory Authority) is the series 7 and includes stocks, bonds, investment companies and options. For futures / commodities the most comprehensive license offered is the series 3 by the NFA (National Futures Association.)
Reference:
http://www.nfa.futures.org/
http://www.finra.org/
An investment broker is a person who brings a buyer and seller together for a particular investment. In the United States this person would need to be licensed to place orders on behalf of customers. There are various specialized licenses but, the most comprehensive one offered by FINRA (Financial Industry Regulatory Authority) is the series 7 and includes stocks, bonds, investment companies and options. For futures / commodities the most comprehensive license offered is the series 3 by the NFA (National Futures Association.)
Reference:
http://www.nfa.futures.org/
http://www.finra.org/
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26th Oct 2009 In Brokerage
1 Answers | 97 Views
Subjects: broker,
investment broker,