Words similar to broker-dealers

Example sentences for: broker-dealers

How can you use “broker-dealers” in a sentence? Here are some example sentences to help you improve your vocabulary:

The Commission discusses the two possible groups of small entities that would be subject to this rulemaking and concludes that as many as 100 broker-dealers and as many as 960 Nasdaq Small Cap issuers could be affected by this rulemaking.
Among other things, the rule amends Regulation T to (1) eliminate restrictions on the ability of broker-dealers to arrange for credit; (2) increase the type and number of domestic and foreign securities that may be bought on margin and increase the loan value of some securities that already are marginable; (3) delete Board rules regarding options transactions in favor of the rules of the options exchanges; and (4) reduce restrictions on transactions involving foreign persons, securities, and currency.
Recordingkeeping requirements are estimated to cost $2,500,000 annually for broker-dealers to comply with the rule.
1The preamble to the final rule actually states that the rule will not have a substantial "adverse effect" on a significant number of small broker-dealers.