Broker Dealer Explained

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In this video, you will learn about a certified broker dealer. A broker dealer is a highly regulated company that buys itself security. They can be selling and buying for a company.


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Where they are the agent or the broker. They might be the principle of the transition or the dealer. They publish investments and research. They also provide investment advice. Highly regulated looks like a lot of people looking over their shoulders. There are a lot of rules for broker dealers. There is a lot going on. FINRA performs their own audits of organizations to make sure organizations are following rules. They have to follow their own rules and public rules. Small organizations or large organizations can be certified broker dealers. When FINRA comes in, they do a good and thorough job because they are backed by congress. Congress uses them to make sure that the companies under them are following legislation and laws. There is a lot to know about legalities. If you are interested in learning more, keep watching this video for more information.
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