Broker-Dealer Basics: Types, Business Models, and Components | Practical Law

Broker-Dealer Basics: Types, Business Models, and Components | Practical Law

A Practice Note that describes the different types of broker-dealer business lines, common broker-dealer business models, and the basic components of a broker-dealer firm. This Note also discusses terminology commonly used to describe the various businesses of broker-dealers, including outdated or rarely used terms.

Broker-Dealer Basics: Types, Business Models, and Components

Practical Law Practice Note w-038-6329 (Approx. 8 pages)

Broker-Dealer Basics: Types, Business Models, and Components

by Practical Law Corporate & Securities
MaintainedUSA (National/Federal)
A Practice Note that describes the different types of broker-dealer business lines, common broker-dealer business models, and the basic components of a broker-dealer firm. This Note also discusses terminology commonly used to describe the various businesses of broker-dealers, including outdated or rarely used terms.