securities dealer means a person or entity that is authorized under provincial legislation to engage in the business of dealing in securities or any other financial instruments or to provide portfolio management or investment advising services.
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 a persons and or entityies that is authorized under
securities dealer. (證券交易商) means –