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LEGAL TERMS DIRECTORY
A | B | C | D | E | F | G | H | I | J | K | L | M | N | O | P | Q | R | S | T | U | V | W | X | Y | Z Broker/Dealer A person or firm in the business of buying and selling securities operating as both a broker and dealer depending on the transaction. A firm engaged in the business of effecting securities and other transactions for the accounts of others. They are required to be registered with the SEC and the NASD. The term is often used to refer to brokerage firms who are NASD members. NASD members trade within the Over-the-Counter (Pink Sheets), NASD Bulletin Board, and NASDAQ trading systems. Welcome to our Legal Directory
Legal & Compliance, LLC is a national corporate and securities law firm that focuses on the specific needs of OTCBB and Bulletin Board Companies. Focus areas include but are not limited to:
Legal & Compliance, LLC 330 Clematis Street, Ste. 217 West Palm Beach, FL 33401 Phone: 800-341-2684 Local: 561-514-0936 Fax: 561-514-0832 E-mail: LauraAnthonyPA@aol.com www.PublicCompanyCompliance.com |