securities brokerglossary / securities broker A broker employed to buy or sell securities for a customer, as opposed to a securities dealer, who trades as a principal before selling the securities to a customer. See DEALER(2). 词条贡献者 译者成昱,毕业于世界顶级翻译学院,擅长翻译各种与集体诉讼相关的法律文件。
securities broker securities broker, 证券经纪人 securities broker 证券经纪人 指受雇为委托人从事股票、债券、政府公债等交易的经纪人。任何代理他人从事证券交易者都可成为证券经纪人,但银行不在此列。证券经纪人通常要收取一定的佣金,专业的证券经纪人则必须要在买卖特定证券的交易所进行登记。它与证券商〔securities dealer〕不同,后者是为自己的利益而从事证券交易。 (→broker-dealer)