Broker-Dealer Types: Fully Disclosed vs Omnibus vs Self-Clearing
Learn about the three broker-dealer types—fully disclosed, omnibus, and self-clearing—and their differences in operations, costs, and compliance.
Types of Broker-Dealers - Withum
May 10, 2016 · What types of broker dealers are there? What is a broker dealer? Dive in to learn about what it is and the different types.
Broker-Dealer (B-D) Explained: Roles, Types & Functions
Oct 2, 2025 · Learn what a broker-dealer is, how it acts as both agent and principal, and its role in securities transactions. Discover the types and functions in U.S. finance.
What Is a Broker-Dealer? Two Types, What They Do, and Regulation
Sep 17, 2024 · Before deciding who to use for help with your investing, learn what brokers, dealers, and broker-dealers are and what services they provide.
Understanding Broker Dealers in the US Financial Market
Jan 16, 2025 · Broker-dealers vary in business size, from small and independent to large subsidiaries of giant commercial and investment banks, as stated in Example 5. The two main …
Entities We Regulate | FINRA.org
Entities We Regulate FINRA Regulates Broker-Dealers, Capital Acquisition Brokers and Funding Portals. A Broker-Dealer is in the business of buying or selling securities on behalf of its …
Beginner’s Guide to Understanding Broker-Dealers
In the next section, we’ll explore the different types of broker-dealers and how they operate within the financial landscape. Whether you’re considering using a broker-dealer’s services or simply …
Understanding the Role of Broker Dealers in Securities Trading
Apr 1, 2025 · Broker-dealers are a crucial component of the securities trading industry. They are financial firms that execute trades for their clients, provide investment advice, and distribute …