 | United States, United States. Congress. House. Committee on Energy and Commerce - 1993 - 656 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... | |
 | United States - 1987 - 556 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withdrawn, whether or not sentence has been imposed.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,... | |
 | United States - 1999 - 740 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... | |
 | Andrew W. Lo - 2008 - 390 페이지
...effecting transactions in securities for the account of others, but does not include a bank." A dealer is "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... | |
 | United States - 1997 - 776 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... | |
 | Michael Himick, Sylvie Bouriaux - 1998 - 222 페이지
...effecting transactions in securities for the account of others." A dealer is defined in Section 3(25) as "any person engaged in the business of buying and selling securities for his own account, through a broker or otherwise.'*'" Under Section I5(a) of the Securities Exchange Act, a broker or... | |
 | Lawrence D. Cluff - 2000 - 187 페이지
...securities for the account of others, but does not include a bank. A dealer is any person that engages 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... | |
 | 2000 - 304 페이지
...transactions in securities for the account of others" (Ie a broker),11 or an individual who is "engaged in the business of buying and selling securities for his own account" (it., a dealer),14 would be required to register as a broker or dealer under Section 15(b)11 of the... | |
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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... 
