證券經紀公司(Securities Brokerage)

來源: 編輯： 2009/10/23 14:33:44　　字體：大小

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　　A securities brokerage is a company which acts as an intermediary for clients wishing to buy and sell different types of securities. These securities may include stocks， bonds， mutual funds， or derivatives such as options and futures. An employee of a securities brokerage who markets the products and investment advice of a brokerage firm is called a registered representative or account executive. A brokerage is composed of many different departments. These departments include but are not limited to： retail， institutional，trading， research and analysis， investment banking， and compliance.

　　Brokerage activities in the U.S. are regulated by the SEC， the NASD， and the exchanges on which they do business. Many brokerage firms are members of those same exchanges.

　　證券經紀公司是作為中間人為客戶買賣不同類型證券的公司。這些證券可能包括股票、債券、共同基金或衍生工具如期權和期貨。在證券經紀公司里營銷產品和投資建議的員工稱為證券經紀人或業(yè)務經紀人。證券經紀公司包含很多部門諸如零售部，機構投資部，業(yè)務部，研究分析部，投資銀行部和法規(guī)遵循部。

　　在美國，證券經紀公司的業(yè)務活動要遵循證券交易委員會，全美證券交易商協(xié)會和證券交易所的規(guī)定。許多證券經紀公司是同一個交易所的成員。

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