( C ) is the Clearing Firm. ( A ) is a broker-dealer. ( B ) is a transfer agent. ( D ) is a market maker. - The company that acts as an agent or principal in a securities transaction and charges commissions or markups. | The company that changes the name on a stock certificate for transactions and records it on the official master shareholder listing. | The company that handles orders to buy and sell securities and maintains custody of securities and other assets. | The company that quotes both a buy and a sell price in a security held in inventory, hoping to make a profit on the bid-offer spread.