 | United States. Congress. Senate. Committee on Banking and Currency - 1933 - 594 páginas
...liquidating agent of any institution included in clause (a), (b) or (c) of this paragraph. (7) The term "broker" means any person engaged in the business...transactions in securities for the account of others and receiving commissions therefor. (8) The term " dealer " means any person engaged in the business... | |
 | United States. Congress. Senate. Interstate and Foreign Commerce Committee - 1934 - 972 páginas
...member is a partner, or any partner of such firm. (4) Subject to paragraph 7 of this section, the term "broker" means any person engaged in the business...transactions in securities for the account of others. (5) Subject to paragraph 7 of thls section, the term " dealer " means any person engaged in the business... | |
 | United States - 1938 - 48 páginas
...national banks under section 11 (k) of the Federal Reserve Act, as amended, and which is supervised and examined by State or Federal authority having supervision...included in clauses (A), (B), or (C) of this paragraph. (7) The term "director" means any director of a corporation or any person performing similar functions... | |
 | United States. Congress. Senate. Banking and Currency Committee - 1938 - 138 páginas
...Securities Exchange Act of 1934 we have defined the term "broker." This subsection reads: (4) The term "broker" means any person engaged in the business...transactions in securities for the account of others, but does not include a bank. Commissioner MATHEWS. That is it. The CHAIRMAN. It also specifically excludes... | |
 | United States. Securities and Exchange Commission - 1953 - 828 páginas
...an underwriter or broker ;...." "Broker" is defined in Section 2 (a) (6) of the Act as follows : " 'Broker' means any person engaged in the business...transactions in securities for the account of others, but does not Include a bank or any person solely by reason of the fact that such person is an underwriter... | |
 | United States. Securities and Exchange Commission - 1953 - 734 páginas
...business as an underwriter or broker ; . . ." "Broker" in defined In Section 2 (a) (6) of the Act as: " 'Broker' means any person engaged In the business...transactions In securities for the account of others, but does not Include a bank or any person solely by reason of the fact that inch person Is an underwriter... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1938 - 144 páginas
...Securities Exchange Act of 1934 we have defined the term "broker." This subsection reads: (4) The term "broker" means any person engaged in the business...transactions in securities for the account of others, but does not include a bank. Commissioner MATHEWS. That is it. The CHAIRMAN. It also specifically excludes... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1940 - 164 páginas
...national banks under section 11 (k) of the Federal Reserve Act, as amended, and which is supervised and examined by State or Federal authority having supervision...included in clauses (A), (B), or (C) of this paragraph. (6) "Broker" means any person engaged in the business of effecting transactions in securities for the... | |
 | United States - 1953 - 1692 páginas
...to those permitted to national banks under section 248 (k) of Title 12, and which is supervised and examined by State or Federal authority having supervision...for the purpose of evading the provisions of this chapter, and (D) a receiver, conservator, or other liquidating agent of any institution or firm included... | |
 | United States - 1944 - 296 páginas
...under section 11 (k) of the Federal Reserve Act, as amended, and which is supervised and examined b}' State or Federal authority having supervision over...included in clauses (A), (B), or (C) of this paragraph. (6) "Broker" means any person engaged in the business of effecting transactions in securities for the... | |
| |
... under the laws ,of any State or of the United States, a substantial portion of the business of which consists of receiving deposits or exercising fiduciary powers similar to those permitted to national banks under... 
