Statements (50)
| Predicate | Object |
|---|---|
| gptkbp:instanceOf |
gptkb:financial_services_company
|
| gptkbp:canBe |
Independent
Discount Online platforms Affiliated with banks Clearing firms Full-service Introducing firms Part of investment banks Proprietary trading firms |
| gptkbp:example |
gptkb:Charles_Schwab
gptkb:Goldman_Sachs gptkb:Robinhood gptkb:Merrill_Lynch gptkb:Morgan_Stanley |
| gptkbp:function |
Buy and sell securities on behalf of clients
Trade securities for their own accounts |
| https://www.w3.org/2000/01/rdf-schema#label |
Broker-Dealers
|
| gptkbp:providesService |
Market making
Investment advice Custody of client assets Order execution Underwriting securities |
| gptkbp:regulates |
gptkb:Financial_Industry_Regulatory_Authority
gptkb:U.S._Securities_and_Exchange_Commission |
| gptkbp:requires |
Comply with Regulation Best Interest
Comply with anti-money laundering laws Comply with margin rules Comply with privacy regulations Comply with suitability requirements Conduct background checks on employees Disclose conflicts of interest File periodic reports Implement cybersecurity policies Join Securities Investor Protection Corporation Maintain net capital Maintain written supervisory procedures Provide account statements Provide trade confirmations Register with FINRA Register with SEC Supervise associated persons |
| gptkbp:subject |
gptkb:Securities_Exchange_Act_of_1934
Books and Records Rule Customer Protection Rule FINRA Rules Net Capital Rule SEC Rules |
| gptkbp:bfsParent |
gptkb:Securities_Regulators
|
| gptkbp:bfsLayer |
6
|