securities dealer definition

securities dealer means persons and entities authorized under provincial or territorial legislation to engage in the business of dealing in securities or any other financial instruments or to provide portfolio management or investment advising services, other than persons who act exclusively on behalf of such an authorized person or entity.
securities dealer means a person acting as dealer (principal) or broker (agent) in carrying out transactions in securities and commodity futures contracts or options on behalf of clients and includes, without limitation, acting as an underwriter or advisor, but excludes a person registered or licensed as a mutual fund dealer;

More Definitions of securities dealer

securities dealer means a company, other than an authorised user, that is engaged in the business of buying and selling securities for own account or in a fiduciary capacity, whether through a broker or otherwise, but excludes a company that, for own account and not as part of its regular business, buys and sells securities;
securities dealer means the holder of a securities (dealers) licence;
securities dealer means persons and entities authorized under provincial legislation
securities dealer means a persons and or entityies that is authorized under
securities dealer means any person or company in possession of a licence pursuant to Article 10 of the Federal Act on Stock Exchanges and Securities Trading of 24 March 19955; AS 2004 2033
securities dealer means a person who carries on the business of dealing in securities, or who holds himself out as conducting such business, within the meaning of section 45, and shall include a person who holds a restricted securities dealer licence issued under section 46(3);
securities dealer. (證券交易商) means –