 | 1949 - 736 페이지
...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... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1953 - 854 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withdrawn, whether or not sentence has been imposed.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 - 1955 - 54 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. Congress. Senate. Committee on Banking and Currency - 1959 - 2024 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. Congress. Senate. Banking and Currency Committee - 1959 - 658 페이지
...transactions in securities for the account of others, but does not include a bank. (8) The term "dealer" menns 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. Congress. Senate. Committee on Banking and Currency - 1963 - 550 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. Office of the Comptroller of the Currency - 1966 - 480 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 ;i bank, or any person insofar as he buys or sells... | |
 | United States. Congress. House. Committee on Banking and Currency - 1968 - 190 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. Congress. House. Committee on the Judiciary. Subcommittee No. 5 - 1970 - 544 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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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... 
