Broker-dealers are financial intermediaries, both individuals and firms, that facilitate the buying and selling of securities in financial markets. They act as intermediaries between buyers and sellers, executing trades on behalf of their clients or for their own accounts. These entities are critical to the functioning of financial markets, as they provide liquidity, transparency, and efficient execution of securities transactions.

Regulatory compliance comprises a wide range of activities, including patient privacy, data security, billing practices, and the quality of care. Compliance guarantees that healthcare organizations maintain the highest standards of integrity and safety, protecting both patients and healthcare providers.