Canadian Financial, Real Estate and Mortgage Glossary

How often this word is used
50% - Moderately

Securities/Investment Dealer

Synonyms:investments dealer, securities dealer
Filed Under: financial-banking, investments
Tags: banking, investment

Definition of securities/investment dealer

securities/investment dealer
1. An individual who acts on behalf of another party to buy and sell securities and other investments. Also called an underwriter.

Related Terms and Acronyms:

  • Canadian Investor Protection Fund (CIPF)   A Canadian not-for-profit that protects investors from a CIPF members' bankruptcy.
      ➥  Non-profit organization that provides investor protection for investment dealer bankruptcy.
  • debt   Money one person or firm owes to another person or firm.
  • derivatives   Financial contracts whose value is derived from the value of some underlying asset, rate or index. Derivatives are used as risk-management tools by governments and corporations to reduce exposure to risk, mainly related to fluctuations in foreign-exchange and interest rates. Derivative instruments include swaps, options, futures and forward contracts and are used by banks in two principal activities: sales/trading and asset/liability management.
  • equity   The value of a property minus outstanding mortgage debt and other liens.
  • investment   Something you put your money into in order to make money.
  • Investment Industry Regulatory Organization of Canada (IIROC)   An organization that regulates, sets standards, and has quasi-judicial power over securities dealers in Canada.
  • secondary mortgage market   The trade in home loans that are bundled together and sold as securities to investors. It frees money so more people can get mortgages.
  • security   A tradable financial implement that represents ownership, the rights to ownership or debt.
  • segregated fund   Investment vehicles that feature both maturity and death guarantees. Segregated funds share similarities with mutual funds but are categorized as insurance products.
  • stock   A share of the ownership of a company.

More Related Terms and Acronyms

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