SIE Exam Study Guide: Market Participants & Roles in Securities Industry, Exams of Business Economics

Download SIE Exam Study Guide: Market Participants & Roles in Securities Industry and more Exams Business Economics in PDF only on Docsity! SIE Exam Study guide Market Participants - The process of matching investors who have money with issuers that need money is one of the primary purposes of the securities industry. Ultimately, the securities marketplaces and its participants provide the bridge between those with capital (money) to invest and those that need the capital for financing purposes. Issuer - an individual, a business or an organization offering a security for sale to the public Broker - any person that engages in the business of effecting agency transactions in securities for the account of others. Dealer - any person that engages in the business of buying and selling securities for its own account Broker-Dealer - Investment Banking - the area that works directly with the issuers to arrange and structure their securities offerings. Underwriters of Securities - Investment Bankers (IB) can be commonly referred to as _ _ _. Research -