BNET Business Dictionary
Business Definition for: Broker
- to act as an agent in arranging a deal, sale, or contract
Wiktionary Definition for: Broker
- a mediator between a buyer and seller
Additional Resources
- Aon broadens China interest over Marsh. (Agent/Broker International).(broker's license approval gives Aon Corp. edge over Marsh in providing services in China)
- China's approval of a broker's license to Aon Corp. appears to allow the broker to provide broader services in the nation than its U.S. business rival Marsh. The Chicago-based broker announced on Jan. 15 that it bad received approval to act as an...
- Research articles 2003-02-03
- SEC Chair Warns CEOS of Broker Dealer Firms of Supervisory Responsibilities
- « More Questions on the SEC-BofA Settlement | Main | SEC's Inspector General Criticizes SEC's Oversight of Rating Agencies » SEC Chair Mary Schapiro released an open letter to the CEOs of broker-dealer firms warning that compensation arrangements could provide improper incentives for registered representatives to engage in abusive sales conduct and reminding...
- News items 2009-09-01
- SEC Issues Guidance on the Recording of Expenses and Liabilities by Broker-Dealers
- It is common practice for a U.S. registered broker-dealer to enter into an expense-sharing agreement with its parent company or affiliate whereby the parent company or affiliate provides the broker-dealer with certain securities trading services and related administrative functions, as well as certain space, facilities, equipment and other services in...
- White papers 2003-12-11
- Contract With Stock Broker
- Unless you are a stock broker yourself, you might need to hire a broker to handle your investments for you. Brokers are the people who work for brokerage houses and can buy and sell stock on the stock exchange. A lost of people wonder if they really need a broker....
- Tools & templates 2007-12-01
- Using a Broker to Sell Your Property Things You Should Know
- A real estate broker can be especially helpful when trying to sell a problem property. He may know investors willing to take a hard look at your offer, where the average home buyer will not. Consider the cost of using a broker versus holding a property for six to nine...
- White papers 2003-01-01
- Aon to buy Jauch: deal gives broker the global partner it needed. (Aon Group's acquisition of German insurance broker Jauch & Huebener KGaA)
- Deal gives broker the global partner it needed CHICAGO - Aon Group Inc. will significantly increase its German and Continental European operations with the acquisition of Jauch & Huebener KGaA, Germany's largest broker. The deal also fulfills HambDeal gives broker the global partner it needed ...
- Research articles 1997-09-22
- Putze named 2003 Broker of the year by Warrell Corp.(Broker Update)(Roy Putze, CBS Sales and Marketing)(Brief Article)
- CAMP HILL, PA -- The Warrell Corp. recognizes Roy Putze of CBS Sales and Marketing in Ashland, VA, as an outstanding broker by presenting him with the company's 2003 Broker of the Year Award. CAMP HILL, PA -- The Warrell Corp. recognizes Roy Putze...
- Research articles 2004-07-01
- B-Ds' duty to supervise getting closer scrutiny.(broker-dealers)
- Broker-dealers and securities industry executives discussed how to ensure supervisors and managers who oversee broker-dealers are properly trained and comply with National Association of Securities Dealers' guidelines. Increasing scrutiny for broker-dealers was a major topic at the International Association for Financial Planning's broker-dealer meeting in Florida. Writing manuals was one...
- Research articles 1997-01-27
- How Do I File a Complaint Against My Broker?
- Dear Ali: I'm so mad at my real estate broker I could kill him. Who do I complain to? A: It depends what you want to complain about, but in the interest of stopping more violence like that in South Carolina --...
- Blog posts 2009-03-30
- Office Of Compliance Inspections And Examinations: Examinations Of Broker-Dealers Offering Online Trading
- This study defines about the research or examinations of broker-dealers offering online trading that revealed examples of sound practices as well as areas where some broker-dealers can enhance their practices. It provides some basic measures include providing help screens on web sites with explanations of key investing...
- Case studies 2001-01-25
- FSI exec praises NASD broker-liaison program; Compliance answers should come more quickly, he says.(News)
- Byline: Sara Hansard WASHINGTON - A broker-liaison program being implemented by NASD is likely to shorten the amount of time it takes for independent-contractor broker-dealers to get answers on compliance questions, according to the general c Byline: Sara...
- Research articles 2006-05-29
- Former Stamford broker, attorney accused of insider trading by SEC. (Steve Glauberman, Eben Putnam Smith and others) (Securities and Exchange Commission)
- Former Stamford broker, attorney accused of insider trading by SEC NEW YORK UPI -- A former attorney for a prestigious law firm, a former stock broker and others were charged last week with illegally neeting more than $4.1 million in five years of Former Stamford...
- Research articles 1990-08-13
- Allstate, former broker hit with $1 million suit. (Northbrook Excess and Surplus)
- Allstate, Former Broker Hit With $1 Million Suit CHICAGO - Information uncovered during the investigation of an unrelated murder case has led to the filing of a $1 million lawsuit against Allstate and a former insurance broker, who was involved in boAllstate, Former Broker Hit...
- Research articles 1990-02-19
- SEC's Broker/Dealer Record Rule Praised.(Brief Article)
- Insurance companies and agents are praising the Securities and Exchange Commission for issuing a final rule on broker/dealer record keeping requirements that accommodates limited service broker/dealers affiliated with life insurance companies. Insurance companies and agents are praising the Securities and Exchange Commission for...
- Research articles 2001-11-05
- Top 25 North American broker-dealers ranked by brokers.
- Top 25 North American broker-dealers ranked by brokers Broker-dealer No. of reps 1 Merrill Lynch &...
- Research articles 2001-12-17
- Top independent broker-dealers ranked by gross revenue.
- Top independent broker-dealers ranked by gross revenue Broker-dealer Gross revenue ...
- Research articles 2002-12-23
- Briefly.(Meadowbrook Insurance Group Inc. has been ranked as the 20th-best insurance broker.)(Wayne State University launched a billboard campaign.)(Northwood University to boost the enrollment and prestige of its MBA programs.)
- Meadowbrook earns top-20 insurance broker rating Southfield-based Meadowbrook Insurance Group Inc. has been ranked as the 20th-best insurance broker in the world by the July issue of Best's Review magazine, based on revenue, business developments i Meadowbrook earns top-20 insurance broker rating ...
- Research articles 2006-07-17
- Attorney Seeks Broker Voice on NASD Board
- New York attorney Bill Singer, a long-time advocate of broker rights, has notified NASD Secretary Barbara Sweeney that he and a group of small broker-dealers he represents will challenge the NASD's official slate of candidates for the upcoming board elec New York attorney Bill Singer, a long-time advocate of broker...
- Research articles 2002-08-01
- Top North American broker-dealers ranked by brokers.
- Top North American broker-dealers ranked by brokers Broker-dealer No. of reps...
- Research articles 2002-12-23
- NASD fines broker for market timing in variable-life policy; Jefferson-Pilot fine called `wake-up call'.(News)
- Byline: Bruce Kelly NEW YORK - In a first, NASD on Wednesday fined a broker-dealer for market timing in subaccounts of variable universal life insurance policies. The broker-dealer, Jefferson Pilot Variable Corp. of Concord, N.H., ...
- Research articles 2005-03-21
