Broker−dealer definition
Broker−dealer means a person engaged in the business of effecting transactions in securities, commodities, and related financial instruments for the account of another or for the person’s own account. “Broker−dealer” does not include a sales agent; an issuer with respect to purchasing and selling the issuer’s own securities; a bank, savings institution, or trust company, when effecting transactions for its own account or as an agent; a person in that person’s capacity as a personal representative, executor, administrator, holder of power of attorney, guardian, trustee of a testamentary or inter vivos trust, conservator, or pledgee; or any other person excluded from the definition of “broker−dealer” in s. 551.102 (4), Stats.
Broker−dealer means a person in the business of effect- ing transactions in securities for the account of others or for the person’s own account and a person who acts, directly or indirectly, as agent, broker or principal in the business of offering, buying, selling or otherwise dealing or trading in securities issued by another corporation.
Broker−dealer means a person engaged in the business of effecting transactions in securities for the account of others or for the person’s own account. The term does not include any of the following:
More Definitions of Broker−dealer
Broker−dealer means any person engaged in the busi- ness of effecting transactions in securities for the account of others or for the person’s own account. “Broker−dealer” does not include any of the following:
Broker−dealer means a person engaged in the business of effecting transactions in securities, commodities, and related
Broker−dealer means a person engaged in the business of effecting
Broker−dealer means any broker or dealer registered under the Exchange Act.
Broker−dealer means, initially, each of Credit Suisse Securities (USA) LLC, Deutsche Bank Securities Inc., Morgan Stanley & Co. Incorporated, Banc of America Securities LLC and Lehman Brothers Inc., and subsequently any other broker or dealer (each as defined in the Securities Exchange Act of 1934, as amended), commercial bank or other entity permitted by law to perform the functions required of a BrokerDealer set forth in the Auction Procedures that (a) is a Clearing Agency Participant (or an affiliate of a Clearing Agency Participant), (b) has been appointed as such by the Issuer pursuant to Section 2.02(f) of Appendix A2 to the
Broker−dealer means a person engaged in the business
Broker−dealer means any person that is a broker (including a municipal securities broker), dealer, municipal securities dealer, government securities broker or government securities dealer as defined in the Exchange Act, regardless of whether the activities of such person are conducted in the United States or otherwise require such person to register with the U.S. Securities and Exchange Commission or other regulatory body.