Professional Documents
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Investment Bank and Securities Firm
Investment Bank and Securities Firm
Investment Bank and Securities Firm
SECURITIES FIRM
Investment Bank
is a financial institution that assists individuals,
corporations, and governments in raising capital
by underwriting or acting as the client's agent in the
issuance of securities (or both).
Activities:
Facilitating transactions of trading.
Market-making
Promotion of securities
Underwriting
2. Buy Side Entity
refers to advising institution concerned
with buying investment services.
b. Bucket Shop
- an unethical or overly aggressive brokerage firm.
DUTIES:
Buyand sell stocks, bonds, commodity futures, foreign currencies and other
securities at stock exchanges on behalf of investment dealers.
Develop trading strategies by reviewing investment information and
monitoring market conditions from the exchange floor and through contact
with trading departments of other investment firms, pension fund managers
and investment company financial analysts.
Make bids and offers to buy and sell securities and complete details of sales
on exchange trade tickets.
Prepare reviews of portfolios' positions.
Dealer
is a firm or person that purchases securities and hold them for later sale at a
profit.
one who buy and sell securities his/her own account.
DUTIES:
http://answers.yahoo.com/question/index?qid=20140
216013143AAXc75G
http://www.imsciences.net/functions-of-broker-vs-deal
er/
http://www5.hrsdc.gc.ca/NOC/English/NOC/2011/Prof
ileQuickSearch.aspx?val=1&val1=1113
http://thelawdictionary.org/securities-firm/