In order to act as brokers, individuals and/or entities must be authorized and registered with the National Securities Commission (CNV for its Spanish acronym) and must comply with the requirements corresponding to each category.
Broker-Dealer
Legal entities registered with the CNV to act in the purchase and sale of listed securities business. As a general rule, all broker-dealers are entitled to act as Trading Agents.
Integral Broker-Dealers
Integral Broker-Dealers
Integral Broker-Dealers take part in transactions clearing and settlement (primary placement and secondary trading). They are registered both for their own portfolio and for their clients. They also offer transaction clearing and settlement services for Trade Agents.
Broker-Dealers non-distributors
They only take part in the clearing and settlement of transactions (primary placement and secondary trading) registered both for their own portfolio and for their clients.
Trade Agents
They are corporations authorized to act as market intermediaries. In the course of their business activities, they may take part in the primary placement and in the secondary trading through the Computer Assisted Trading System, placing bids in the primary placement or making transactions in the secondary trading, both for their own portfolio and for third-party clients.
Securities Broker
They are legal entities registered with the National Securities Commission (CNV) which link two or more parties, with no collaboration, subordination or agency relationship, for the completion of marketable securities-related transactions.
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