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WebFirms We Regulate. FINRA Regulates Broker-Dealers, Capital Acquisition Brokers, and Funding Portals. A Broker Dealer is in the business of buying or selling securities on behalf of its customers or its own account or both. A Capital Acquisition Broker is a Broker Dealer subject to a narrower rule book. A Funding Portal is a crowd funding ... WebFeb 14, 2024 · A broker-dealer is a financial firm that buys and sells investments for its customers as a broker, trades investments in its own account as a dealer, or does both. … oswal physics class 12 pdf
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