Broker

A nominal quote in the municipal bond market at which price a dealer is willing to either buy or sell a particular issue. This differs from a firm quote as revisions to the offer are ...

The solicitation of potential customers who were not anticipating such an interaction. Cold calling is a technique whereby a salesperson contacts individuals who have not previously ...

A term used to describe the broker participating on the opposite side of a transaction. Contra brokers will take the opposing side of a buy or sell order from the initiating broker, who ...

1. An individual or firm willing to buy or sell securities for their own account.2. One who purchases goods or services for resale to consumers.

A telemarketing technique in which unsolicited, or "cold" calls, are made to prospective clients of a business or service using a cheerful tone of voice. In the financial context, the ...

A stockbroker who carries out buy and sell orders at a reduced commission compared to a full-service broker, but provides no investment advice.

The unethical practice of a broker trading an equity based on information from the analyst department before his or her clients have been given the information.

A broker that provides a large variety of services to its clients, including research and advice, retirement planning, tax tips, and much more. Of course, this all comes at a price, as ...

A broker-dealer firm that accepts the risk of holding a certain number of shares of a particular security in order to facilitate trading in that security. Each market maker competes for ...

1. The amount borrowed or the amount still owed on a loan, separate from interest. 2. The original amount invested, separate from earnings.3. The face value of a bond.4. The owner of a ...

An advisor, registered with the Securities and Exchange Commission, who manages the investments of others.

Pass your Series 7 Exam and pursue your stock broker career with our Free Online Study Guide.

Learn the clues you'll need to determine whether you've chosen a reputable professional.

Make sure you're getting the best service by staying informed and involved.

Follow these simple rules to ensure you're treating your clients fairly.

These four steps will reduce your liability when managing other people's money.

These seven tips can have you on the road to financial internship bliss.

Personal financial information can be used to evaluate potential employees. How will you rate?

Finding your perfect advisor is as simple as shopping for a car. Read on to learn more.

We show you how to resolve a problem without getting the lawyers involved.

Learn when to let the middleman work for you.

If you're a rookie investor, your first big investment decision should be an informed one.

Part of starting a successful career as a broker is finding the right place to work.