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Specialists and Market Makers Manual Zagreb, September 2013 Table of contents: 1. INTRODUCTION ....................................................................................................................................

How to fill out specialists and market makers

How to fill out specialists and market makers:

1. Identify the specific requirements: Begin by understanding the specific requirements for filling out specialists and market makers. This may involve researching the regulations and guidelines set by the relevant authorities or exchanges.
2. Gather necessary documentation: Collect all the necessary documentation that is required to fill out specialists and market makers. This may include licenses, permits, certifications, or any other relevant paperwork.
3. Understand the role and responsibilities: Familiarize yourself with the role and responsibilities of specialists and market makers. Specialists are responsible for maintaining liquidity and orderly trading in specific securities, while market makers create a market for certain securities by acting as both a buyer and seller.
4. Evaluate expertise and experience: Assess the expertise and experience required to fill out specialists and market makers. Specialists and market makers are typically expected to possess a deep understanding of the specific securities they deal with and have a robust track record in executing trades effectively.
5. Submit application or proposal: Prepare and submit a well-prepared application or proposal to the relevant authority or exchange. This may involve providing information about your qualifications, experience, and the specific securities in which you intend to specialize or make markets.
6. Comply with regulations and guidelines: Ensure that your application or proposal adheres to all the regulations and guidelines stipulated by the authority or exchange. This may include demonstrating compliance with capital requirements, risk management protocols, or any other specific rules.
7. Follow up and provide additional information if required: Be prepared to follow up on your application and provide any additional information that may be requested by the authority or exchange. This may include attending interviews, providing references, or clarifying certain aspects of your application.
8. Continuous evaluation and improvement: If your application is successful and you are approved as a specialist or market maker, continue to evaluate and improve your performance. Stay updated with market trends, maintain compliance with regulations, and adapt your strategies as needed to ensure effective performance.

Who needs specialists and market makers:

1. Stock exchanges: Stock exchanges need specialists and market makers to maintain liquidity and ensure orderly trading in the securities listed on their platforms. They play a crucial role in matching buyers and sellers, facilitating efficient price discovery, and reducing market volatility.
2. Brokerage firms and investment banks: Brokerage firms and investment banks often require specialists and market makers to provide liquidity for their clients' trades. Specialists and market makers help ensure that there are always buyers and sellers in the market, making it easier for brokerage firms and investment banks to execute trades smoothly.
3. Investors and traders: Investors and traders also benefit from the presence of specialists and market makers. The activities of specialists and market makers help provide a continuous market and narrow bid-ask spreads, which can improve the overall efficiency of trading and provide better opportunities for investors and traders.

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