Demystifying the World of Broker-Dealers and Brokers: Navigating the Financial Marketplace
In the intricate tapestry of the financial world, broker-dealers and brokers play pivotal roles in connecting investors with the securities markets. These entities serve as intermediaries, facilitating the buying and selling of financial instruments while adhering to regulatory standards. In this article, we will explore the functions, responsibilities, and regulatory framework surrounding broker-dealers and brokers….