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State of OpenOffice of the State TreasurerSemiAnnual Update to the Broker / DealerRequest for InformationFiscal Year 2012Josh Manuel, State Treasurer of Ohio Broker/Dealer Request for Information Semiannual
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A broker dealer is a firm or individual that is in the business of buying and selling securities on behalf of its customers or for its own account.
Broker dealers are required to file with the appropriate regulatory authorities, such as the SEC or FINRA.
Broker dealers must fill out the required forms and reports as specified by the regulatory authorities.
The purpose of a broker dealer is to facilitate the buying and selling of securities in the financial markets.
Broker dealers must report financial information, trading activity, and compliance with regulations.
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