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3411 SECURITIES AND FINANCE DEALERS AND BROKERS
 


    Securities and finance dealers and brokers buy and sell securities, stocks, bonds and other financial instruments, and deal on the foreign exchange on spot or on futures markets, on behalf of their own company or for customers on a commission basis and recommend transactions to clients or senior management.

    Tasks include -

    (a) obtaining information about the financial circumstances of customers and companies in which investments may be made;

    (b) analysing market trends for securities, bonds, stocks and other financial instruments, including foreign exchange;

    (c) informing prospective customers about market conditions and prospects;

    (d) advising on and participating in the negotiation of terms for, and organisation of, loans and placement of stocks and bonds in the financial market to raise capital for customers;

    (e) recording and transmitting buy and sell orders for securities, stocks, bonds or other financial instruments and for foreign exchange for future or immediate delivery;

    (f) performing related tasks;

    (g) supervising other workers. Examples of the occupations classified here:

  • Broker, foreign exchange

  • Broker, securities

  • Broker, stocks and shares


  • Some related occupations classified elsewhere:

  • Clerk, securities - 4122


   
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 Updated 18 September 2004, by VA.