Finance · Principal
In financial market transactions, who is considered the 'principal' when a broker executes an order?
Verified Solution4 OptionsUpdated: October 2026👁️1 View
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- 1The individual or entity for whom the broker executes the order, or a dealer trading for their own account✓
- 2The intermediary agent who charges a commission for the trade
- 3The regulatory body supervising the transaction
- 4The stock exchange clearinghouse guaranteeing the trade
Correct answer
The individual or entity for whom the broker executes the order, or a dealer trading for their own account
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