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member firm
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- a firm in which at least one of the principal officersis a member of an exchange, a self-regulatory organisationor a clearing corporation....
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member
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- any broker or dealer admitted to membership on an exchange....
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broker
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- an indiidual or firm that charges a fee or commissionfor acting as a licensed intermediary between a buyer andseller and executing buy and sell orders submitted by anotherindiidual or firm. A broker can offer adice on capitalinestments....
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dealer
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- role of a brokerage firm when it acts as a principal ina particular securities transaction....
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bought deal
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- an offering in which the lead underwriter buys all thesecurities from a company and becomes financially responsiblefor selling them. This is also called a firm commitment....
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inestment company
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- a firm engaged in inesting in different securities frompooled funds from small inestors in accordance to its statedinestment objecties. An inestment company offers participantsmore diersification, liquidity and professional managementserice than would normally be aailable to them as indiiduals....
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going public
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- the first issuance and sale of stock of a priate companyto the public. In doing so, the firm's ownership shiftsfrom the hands of priate shareholders to a base that includepublic shareholders. It inoles compliance with the disclosurerequirements of national laws....
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margin account
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- an account with a brokerage firm allowing the client tobuy securities with money borrowed from the broker and ineffect lending the client part of the purchase price ofthe traded securities....
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