logo
Menu
  • HOME
  • ABOUT
    • What we do
    • Organogram
    • The Board
    • Directorates
    • Annual Reports
    • Conducting Business with SEC
    • Careers
    • FAQ
  • REGULATION
    • Investment and Securities Act
    • Rules & Codes
    • INTERPRETIVE GUIDANCE NOTES (IGN)
    • List of Registered Shareholders’ Associations
    • Fintech Portal
  • REGISTERED CMOS
  • FILINGS
    • Application Forms
    • Return Forms
    • Check-lists and Guidelines
    • Executed Transactions
    • SEC Fees
  • ENFORCEMENT
    • Submit a Complaint
    • Pay Fee Or Penalty
    • Suspensions and Penalties
    • Litigation
    • Referred Cases
    • Administrative Proceedings Committee Matters
  • PUBLICATIONS
    • Capital Market Masterplan
    • Speeches and Presentations
    • Research Papers
    • Capital Market Data
    • Nigerian Commodities Trading Ecosystem Bulletin
    • Glossary of Capital Market Terms
  • CONTACT US

Broker/Dealer

23/02/2016

Share

A financial intermediary who combines the functions of a stock- broker and a securities dealer.

NEWS

  • Exposure Of Sundry Amendments To The Rules And Regulations Of The Commission
  • Notification for Third CMC meeting in 2019
  • Nigerian Commodities Trading Ecosystem Bulletin – 2nd edition 2019
  • Operations Of Nominee Accounts By Capital Market Operators
  • BGL Group APC Decision
  • IOSCO to launch 2019 World Investor Week to promote investor education

© Copyright 2019, Securities & Exchange Commission, Nigeria.

All rights reserved.

HEADQUARTERS

SEC TOWERS,
Plot 272, Samuel Adesujo Ademulegun Street, Central Business District
P.M.B:315, Garki, Abuja
+234 (0) 94621100; +234 (0) 94621168

CONNECT WITH SEC

  • SEC Mail
  • SEC NET