exchange broker

Included in the monetary penalties is a$ 200 million payment to the Securities and Exchange Commission to settle charges that UBS acted as an unregistered broker-dealer and investment adviser.

上述罚金包括了向美国证券交易委员会（SEC）支付的2亿美元，从而就瑞银从事未登记经纪自营商和投资顾问业务的诉讼达成和解。

It was improper of the broker to withhold the information from the stock exchange.

股票经纪人对交易所隐瞒信息的行为是不正当的.

He is a foreign exchange broker.

他是个外汇经纪人.

Look for loans that are for sale either by contacting lenders directly as a loan broker or by searching on a public loan exchange.

直接通过房屋中介，或者是公开的房贷交易网搜寻合适的抵押物都是安全可行的做法。

As broker-dealers, regulated more lightly by the Securities and Exchange Commission, they were free to put large dollops of capital to work, providing liquidity, making markets and assuming risk.

作为经纪交易商，略受证券交易委员会监管，它们可以自由地运作巨额资本，提供流动性，形成市场并评估风险。