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도서 broker" means any person engaged in the business of effecting transactions in securities...에 대해 검색한
" broker" means any person engaged in the business of effecting transactions in securities for the account of others, but does not include a bank. (5) The term "dealer" means any person engaged in the business of buying and selling securities for his own... "
Stock Exchange Regulation: Hearing Before the Committee...seventy-third ... - 283 페이지
저자: United States. Congress. Senate. Interstate and Foreign Commerce Committee - 1934 - 941 페이지
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Stock Exchange Practices: Hearings Before the Committee on Banking and ...

United States. Congress. Senate. Committee on Banking and Currency - 1933
...securities for his own account, but within the normal interpretation of that language he is not engaged in the business of buying and selling securities for his own account. Senator KEAN. Suppose that is the only business he has? Suppose he is a retired man? Mr. CORCORAN....
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Stock Exchange Regulation: Hearing[s] Before the Committee on Interstate and ...

United States. Congress. House. Committee on Interstate and Foreign Commerce - 1934 - 941 페이지
...buy securities for the account of others. Section 3, subdivision 5 to read, "The term 'dealer' means any person engaged in the business of buying and selling securities for his own account, through a broker or otherwise, the chief purpose of which is to give investors a service that will...
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Decisions and Reports, 39권

United States. Securities and Exchange Commission - 1962
...he had only a very brief opportunity to 'Section 3(a)(5) of the Exchange Act defines as a "dealer" any person engaged In the business of buying and selling securities for his own account, through a broker or otherwine, bat does not Include a bank, or any person Insofar as he buys or sells...
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Decisions and Reports, 27권

United States. Securities and Exchange Commission - 1953
...account of others, but does not include a bank. Section 3 (a) (5) of the Act defines a "dealer" as — any person engaged in the business of buying and selling securities for his own account, through a broker or otherwise, but does not include a bank, or any person insofar as he buys or sells...
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Securities Exchange Act of 1934: And Amendments Public--no. 291--73d ...

United States - 1938 - 44 페이지
...transactions in securities for the account of others, but does not include a bank. (5) The term "dealer" means any person engaged in the business of buying and selling securities for his own account, through a broker or otherwise, but does not include a bank, or any person insofar as he buys or sells...
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General Rules and Regulations Under the Securities Exchange Act of 1934, as ...

United States. Securities and Exchange Commission - 1942
...participants, from the issuer; (5) Such transaction is effected by a person who is otherwise engaged in the business of buying and selling securities for his own account, through a broker or otherwise, as a part of a regular business; and (c) If the person effecting such...
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Investment Trusts and Investment Companies: Hearings Before a Subcommittee ...

United States. Congress. House. Committee on Interstate and Foreign Commerce - 1940 - 145 페이지
...withdrawn, whether or not sentence has been imposed. (11) "Dealer" means any person regularly engaged in the business of buying and selling securities for his own account, through a broker or otherwise, but does not include a bank, insurance company, or investment company,...
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United States Code: Containing the General and Permanent Laws of the United ...

United States - 1953
...the account of others, but does not include a bank. §78b Page 1695 ¡78c (5) The term "dealer" means cal quarter for which market quotations are readily available, the market value at the e through a broker or otherwise, but dees not include a bank, or any person insofar as he buys or sells...
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United States Code

United States - 2000
...as the Commission considers appropriate. (5) DEALER.— (A) IN GENERAL. — The term "dealer" means any person engaged in the business of buying and selling securities for such person's own account through a broker or otherwise. (B) EXCEPTION FOR PERSON NOT ENGAGED IN THE...
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Code of Federal Regulations: Containing a Codification of Documents of ...

1949
...participants, from the issuer; (b) Such transaction is effected by fc person who is otherwise engaged in the business of buying and selling securities for his own account, through a broker or otherwise, as a part of a regular business; and (c) If the person effecting such...
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