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证券经纪公司(Securities Brokerage)

2017-09-21 14:01金融英语 浏览:
 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.

  证券经纪公司是作为中间人为客户买卖不同类型证券的公司。这些证券可能包括股票、债券、共同基金或衍生工具如期权和期货。在证券经纪公司里营销产品和投资建议的员工称为证券经纪人或业务经纪人。证券经纪公司包含很多部门诸如零售部,机构投资部,业务部,研究分析部,投资银行部和法规遵循部。

  在美国,证券经纪公司的业务活动要遵循证券交易委员会,全美证券交易商协会和证券交易所的规定。许多证券经纪公司是同一个交易所的成员。

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