BROKER-DEALER Definition

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BROKER-DEALER is any person or institution, other than a bank, engaged in the business of buying or selling securi­ties on its own behalf or for others.

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SOURCE DOCUMENTS are the primary documents used when forwarding an argument or making a presentation of fact. Usually used as a direct reference as a source of empirical data, expert opinion or information. See SUPPORTING DOCUMENTS.

FISCAL QUARTER is any of the four financial accounting quarters within a fiscal year. See FISCAL YEAR.

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