Series 65: Steps In A Typical Securities Trade

Taken from our Series 65 Online Guide

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Steps in a Typical Securities Trade

1. Investor contacts a broker to buy securities.
2. Broker places the investor’s order either by telephoning a trader or by using an electronic trading network.
3. Order is routed. Possibly to an exchange (NYSE or NASDAQ), a market maker, an Electronic Communications Network, or a registered Alternative Trading System or other dark pool, which electronically matches buyers and sellers and does not require the use of an

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