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Broker-dealer: Difference between revisions
→Foreign broker-dealers and registered broker-dealers
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===[[Foreign broker-dealer]]s and [[registered broker-dealer]]s=== | ===[[Foreign broker-dealer]]s and [[registered broker-dealer]]s=== | ||
A [[foreign broker-dealer]] (foreign being from the perspective of the [[United States of America]]), means that poor, huddled mass of international brokers and dealers who were turned away, or never arrived, at Ellis Island and have not subsequently been registered with the {{tag|Securities and Exchange Commission}}. A [[registered broker-dealer]] denotes one of those blessed souls who have. | A [[foreign broker-dealer]] (foreign being from the perspective — is there another? — of the [[United States of America]]), means that poor, huddled mass of international [[broker|brokers]] and [[dealer|dealers]] who were turned away, or never arrived, at Ellis Island and have not subsequently been registered with the {{tag|Securities and Exchange Commission}}. A [[registered broker-dealer]] denotes one of those blessed souls who have. | ||
Of much interest to those wanting to handle or “effect” transactions in securities with [[US person]]s. The {{tag|SEC}} has lots of rules about this, and as you can probably imagine they’re | Of much interest to those wanting to handle or “effect” transactions in securities with [[US person]]s. The {{tag|SEC}} has lots of rules about this, and as you can probably imagine they’re all simple, clear and easy to understand. | ||
===See in particular=== | ===See in particular=== | ||