CISI CMP Securities Practice Questions - CISI Capital Markets Programme - Securities Exam

In securities markets, what is a 'sell-side' firm?

A firm that only sells its own shares A firm such as an investment bank or broker that creates, promotes and sells securities and provides execution services A pension fund that buys assets for the long term A regulator that supervises market conduct

Correct Answer:

A firm such as an investment bank or broker that creates, promotes and sells securities and provides execution services

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