WebB) Providing access to the broker-dealer's computerized accounting system, allowing the investment adviser to prepare its financial statements. C) Clearance and settlement services provided by the broker-dealer. D) Rent-free use of unused space in the broker-dealer's office., An investment adviser representative may share in the profits and ... In the real estateindustry, a broker is a licensed real estate professional who typically represents the seller of a property. A broker's duties when working for a seller may include: 1. Determining the market values of properties. 2. Listing and advertising the property for sale. 3. Showing the property to … See more A broker is an individual or firm that acts as an intermediary between an investor and a securities exchange. Because securities exchanges only accept orders from individuals or … See more As well as executing client orders, brokers may provide investors with research, investment plans, and market intelligence. They may also cross-sell other financial products and … See more Brokers register with the Financial Industry Regulatory Authority (FINRA), the broker-dealers’ self-regulatory body. In serving their clients, brokers are held to a standard of conduct based on … See more Discount brokers can execute many types of trades on behalf of a client, for which they charge a reduced commission in the range of $5 to $15 … See more
What Is a Broker? U.S. News
WebStudy with Quizlet and memorize flashcards containing terms like Which of the following records must be kept by a broker-dealer firm for three years? A) Trial balances B) Blotters C) Customer account records D) Form BD and amendments, An investor has received insider information from a research scientist that a chemical company has just invented a … WebA) Under each, the broker earns a commission regardless of who sells the property, as long as it is sold within the listing period. B) Each grants a commission to any broker who procures a buyer for the seller’s property. C) Each grants the exclusive right to sell to whatever broker produces a buyer for the seller’s property. اسم فارسی با م پسر
Unit 10 Quiz Flashcards Quizlet
WebAt B The Broker, we help you 'Transact like a Pro.' With a full service real estate platform you can take charge of your real estate selling experience Web(b) The broker must disclose his ownership interest if asked. (c) This is called dual agency. (d) The broker cannot list his own property as it creates a conflict of interest. (a) The broker must always disclose this dual role. 23. A buyer has provided confidential information about his income and bank account to his agent. The agent has ... WebUnder a brokerage agreement with a property owner, the broker is entitled to sell the property for any price, as long as the seller receives $85,000. The broker may keep any amount over $85,000 as a commission. This type of listing might be illegal and is called A) an open listing. B) an exclusive agency listing. C) a net listing. اسم فارسی با فونت