broker-dealer

常見例句

As a broker-dealer, it was able to clear its own trades, a privilege that should give pause for thought.
作為一個經(jīng)紀交易商，他能夠清算自己的賬戶，這個特權(quán)本來就應該被禁止。
Corzine, who helped run Goldman Sachs from 1994 to 1999, hired 800 employees in efforts to turn the broker-dealer into an investment bank.
曾經(jīng)在1994年至1999年執(zhí)掌高盛集團的喬恩?柯賽招聘了800位員工，試圖使這家經(jīng)紀交易商轉(zhuǎn)型為一家投資銀行。
But in the broker-dealer world, confidence and perception are critical, and if enough people believe you're going under, rightly or wrongly, the game is over – fast.
但在經(jīng)紀交易商的世界中，信心和認知是至關重要的。如果有足夠多的人認為你即將倒下——無論這種看法是對還是錯——這場游戲就會飛速終結(jié)。

A pure investment bank is not a depository institution and it's also--a pure investment bank is not a broker- dealer either.
一個真正的投行不是一個儲蓄機構(gòu),當然一個真正的投行也不是證券公司-,或者發(fā)行公司。
耶魯公開課 - 金融市場課程節(jié)選
For example Bear Stearns which is a broker-dealer failed recently.
例如貝爾斯登,那個最近倒閉的經(jīng)紀自營商。
耶魯公開課 - 金融市場課程節(jié)選
What they're really doing is just we're facing this seize up of our financial system so we have banks that we've just seen the failure of Bear Stearns which is actually a broker-dealer.
他們真正在做的只是,我們正處于金融體系失靈的階段,所以我們有這種銀行,我們剛剛目睹了經(jīng)紀自營商,貝爾斯登的失敗。
耶魯公開課 - 金融市場課程節(jié)選

Some of these firms audited only one broker-dealer, while others audited over 150 broker-dealers.
FORBES: All Talk: The SEC's Broken Broker-Dealer, Investment Advisor Examination Program
Currently, platforms are permitted to operate under Regulation D, by partnering with a registered Broker-Dealer.
FORBES: The Future Of Investment Crowdfunding
Broker-dealer auditors are not yet officially required, therefore, to use PCAOB standards for conducting their audits.
FORBES: Already Behind The Eight-Ball: Auditors of Broker-Dealers Are A Disaster