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Tag: Non-Issuer Broker-Dealer

Two traders engaging in a non-issuer transaction, with no involvement from the original issuing entity or company

Understanding Non-Issuer Transactions: Definition, Types, and Regulations

April 6, 2025 FinanceFacts101 Business Finance

Introduction to Non-Issuer Transactions A non-issuer transaction, also known as a secondary market transaction, occurs when an investor trades or transacts securities not directly connected with the issuing entity. These transactions play a crucial role in financial markets, accounting for most deals that happen between private parties on over-the-counter (OTC)

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