Two, in which the business scope of securities companies is divided into:
1. underwriting business: providing pre-listing counseling and stock issuance for companies to be listed.
2. Brokerage business: buying and selling stocks in the securities market and collecting commissions.
3. Self-operated business: the company does its own stock trading.
Third, brokers may not be able to do all the business.
According to different businesses, it can be divided into comprehensive, brokerage and self-operated brokers; Other enterprises can only do their own business.
At present, it seems that the CSRC is considering allowing some fund companies and investment consulting companies to do underwriting business.
This is out of consideration for the stability of financial industry, not forcing you to spend. Without going through a securities company, it is still a monopoly. This is the monopoly of the exchange! If anyone can do this business, it will be chaotic and there will be piles of scammers. There have been underground transactions in Chengdu before, and many people have been cheated. In addition, investors don't know much about the financial industry now, and they need the help of professionals!
Six, the commission standard is formulated by the exchange, the securities companies can be slightly floating according to the situation, the relevant administrative departments will adjust the standard according to the situation.