5 thoughts on “Can securities brokers trading stocks?”

  1. 1. In China, securities brokers can stock up. Securities Law stipulates that in securities transactions, securities companies engaged in intermediary business, securities companies, are securities companies, and are securities brokers with legal person qualifications. Securities brokerage business is the main business of securities companies, and the main body of the securities brokerage business is securities brokers.
    2, securities brokers pointed out that they were instructed to buy and sell securities in the stock exchange, acting as the intermediary of the transaction and collecting commissions. It can be divided into three categories, namely commissions agents, two dollar agents and bond agents. Practitioners must obtain the qualifications of the securities qualification examination before they can engage in securities brokerage business.
    3. The responsibility of the securities broker is to act as an agent to buy and sell securities in securities transactions to engage in intermediary business. That is to say, in securities transactions, the majority of securities investors do not directly buy and sell securities, but to buy and sell securities through securities brokers. As an intermediary of the buyer and seller, the securities broker is the agent of the customer's sale of the securities: it asked the buying price and selling price of both parties to buy and seller. When the purchase price and the selling price are consistent, the transactions of the securities of both parties are promoted, and the transaction fee (commission) is charged to the two parties.

  2. Can securities brokers trading stocks? impossible. According to the "Securities Law" regulations: the employees of the securities exchanges, the securities company, and the securities registration and settlement institution, the staff of the securities supervision and management institution, and the other personnel who prohibit participating in stock transactions in laws and administrative regulations shall not be allowed to participate in stock transactions. Direct or pseudonym, holding or buying stocks in the name of others, and buying and selling stocks, and shares presented by others, so securities brokers must not stock up stocks. When investing in the securities industry, investors need to sell the securities account under their name. At the same time, the securities industry will verify its situation. : 1. Use account opening, cancellation, transfer, securities subscription, transaction or capital access, transfer, query, etc. for account opening, cancellation, transfer; Securities trading; 3. Share investment income with customers, and promise the income of customer securities sale or the losses of compensation for the sale of securities; 4. Adopt unfair means to degrade competitors and enters the competitors' business venues to solicit customers; 5. Provide intermediaries, guarantees, or other convenience for customers; 6. Provide customers with illegal service places or trading facilities, or engage in customer recruitment and customer service through Internet networks and news media; 7. Other illegal and illegal activities.

  3. Is it a securities agent?
    The law stipulates that shares in the securities industry cannot be traded
    The family members cannot trading stocks

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