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" broker" means any person engaged in the business of effecting transactions in securities for the account of others, but does not include a bank. (5) The term "dealer... "
Securities Regulations for the District of Columbia - Página 34
por United States. Congress. House. Committee on Interstate and Foreign Commerce - 1962 - 59 páginas
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Stock Exchange Practices: Hearings Before the Committee on Banking and ...

United States. Congress. Senate. Committee on Banking and Currency - 1933 - 594 páginas
...of any institution included in clause (a), (b) or (c) of this paragraph. (7) The term "broker" means any person engaged in the business of effecting transactions in securities for the account of others and receiving commissions therefor. (8) The term " dealer " means any person engaged in the business...
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Stock Exchange Regulation: Hearing Before the Committee...seventy-third ...

United States. Congress. Senate. Interstate and Foreign Commerce Committee - 1934 - 972 páginas
...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 of effecting 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...
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Regulation of Over-the-counter Markets: Hearings Before the Committee on ...

United States. Congress. Senate. Committee on Banking and Currency - 1938 - 144 páginas
...Exchange Act of 1934 we have defined the term "broker." This subsection reads: (4) The term "broker" means any person engaged in the business of effecting 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...
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Securities Exchange Act of 1934: And Amendments Public--no. 291--73d ...

United States - 1938 - 48 páginas
...dealer of which a meniber is a partner, and any partner of any such firm. (4) The term "broker" means any person engaged in the business of effecting 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...
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Regulation of Over-the -counter Markets, Hearings Before ..., 75-3 on S ...

United States. Congress. Senate. Banking and Currency Committee - 1938 - 138 páginas
...Exchange Act of 1934 we have defined the term "broker." This subsection reads: (4) The term "broker" means any person engaged in the business of effecting 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...
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Decisions and Reports, Volumen24

United States. Securities and Exchange Commission - 1953 - 734 páginas
...underwriter or broker ; . . ." "Broker" in defined In Section 2 (a) (6) of the Act as: " 'Broker' means any person engaged In the business of effecting 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...
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Decisions and Reports, Volumen25

United States. Securities and Exchange Commission - 1953 - 828 páginas
...or broker ;...." "Broker" is defined in Section 2 (a) (6) of the Act as follows : " 'Broker' means any person engaged in the business of effecting 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...
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Decisions and Reports, Volumen38

United States. Securities and Exchange Commission - 1960 - 996 páginas
...15 (b) of the Exchange Act at any of the times involved in these proceedings, although it admittedly engaged in the business of effecting transactions in securities for the account of others and was therefore a broker as that term is defined in Section 3(a)(4) of the Exchange Act. Applicant...
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Investment Trusts and Investment Companies: Hearings Before a Subcommittee ...

United States. Congress. House. Committee on Interstate and Foreign Commerce - 1940 - 164 páginas
...any institution or firm 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 account of others, but does not include a bank or any person solely by reason of the fact that such person is an underwriter...
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United States Code, Volumen2

United States - 1953 - 1692 páginas
...any institution or firm included In clauses (A), (B), or (C) of this paragraph. (3) "Broker" means 䁀 "F 1941 +For sale by the Supt. of Docs., U.S. G.P.O." " United States( but does not include a bank. (4) "Commission" means the Securities and Exchange Commission. (5) "Company"...
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