...persons "who introduce or advise the purchaser." 20/ The 1934 Act also defines the term "dealer" to mean "any person engaged in the business of buying and selling securities for his own account. . ." subject to limited exceptions. 15 USC Sec. 78c(aX5). It appears that persons engaged in the sale...

...Exchange Act of 1934 (15 OSC S 78c(a)(5)) is amended to read in " its entirety: •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, bank holding company or subsidiary thereof,...

...Section 202(a)(7) of the Advisers Act states, in part, that "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 companies....

...1934 § 15(a); USC §78o. others (but does not include a bank),2 and the term "dealer" basically means any person engaged in the business of buying and selling securities for his own account.3 The limited partnership (as an issuer) or the syndicator will not usually be deemed a dealer...

...enforcement authority can have a deterrent effect Section 3(a)(5) of the Exchange 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 other person insofar as he buys...

...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...

...enforcement authority can have a deterrent effect Section 3(a)(5) of the Exchange 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 other person insofar as he buys...

...in "securities" for the accounts of others, and the term "dealer* is defined by Section 3 (a) (5) as any person engaged in the business of buying and selling "securities" for his own account. If the FDIC removes certain instruments from the definition of "security" for purposes of the 1934...

...but does not Include a bank.* Similarly, Section 3(a)(S) of the Exchange Act defines a "Dealer* as "any person engaged in the business of buying and selling securities for his own account ... ." In the •worst-case-scenario,* the Association in their sale of the Holding Companies debt...

...jurisdiction of the Securities and Exchange Commission (SEC). Under the act, a "dealer" is anyone 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...