From Open Risk Manual


Broker. Any party that acts as an intermediary between a buyer and a seller, usually charging a commission

A broker that specializes in stocks, bonds, commodities, or certain derivatives must be registered with the exchange in which the securities are traded.

See Also

  • 17 CFR 45.1, Definitions - see the definition of agent
  • Barron's Dictionary of Finance and Investment Terms, Ninth Edition, 2014


This entry annotates a FIBO Ontology Class. FIBO is a trademark and the FIBO Ontology is copyright of the EDM Council, released under the MIT Open Source License. There is no guarantee that the content of this page will remain aligned with, or correctly interprets, the concepts covered by the FIBO ontology.