Home » Definitions » Broker
A broker is defined as any person engaged in the business of effecting transactions in securities for the account of others. A dealer acts as principal, whereas a broker may act as an agent. Generally brokers must register with the SEC.
Blank Check Company
Anchor Investor
At-the-Market Offerings
Backdoor IPO
Bad Actor
Blue Sky
Bookrunner
Bought Deal
Clawback
Crossover Round
Crowdfunding
Death Spiral
Direct Listing
Fire Sale
Freezer Account
Funding Portal
Green Shoe
Gun Jumping
