exchange broker
exchange broker. One who negotiates money or merchandise transactions for others. [Cases: Brokers 2. C.J.S. Brokers §§ 2–5.]
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marriage broker
marriage broker. One who arranges a marriage in exchange for consideration. • A marriage broker may be subject to criminal liability.
exchange
exchange, n. Commercial law. 1. The act of transferring interests, each in consideration for the other. [Cases: Exchange of Property 1. C.J.S. Exchange of Property §§ 2–3.] bargained-for exchange. See BARGAINED-FOR EXCHANGE. like-kind exchange. See LIKE-KIND EXCHANGE. tax-free exchange. See TAX-FREE EXCHANGE. 1031 exchange. See 1031 EXCHANGE. 2. Money or negotiable instruments presented as payment;
securities exchange act of 1934
Securities Exchange Act of 1934. The federal law regulating the public trading of securities. • This law provides for periodic disclosures by issuers of securities and for the registration and supervision of securities exchanges and brokers, and regulates proxy solicitations. The Act also established the SEC.15 USCA §§ 78a et seq. — Also termed Exchange
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registered broker
A broker registered or required to be registered under the Securities Exchange Act of 1934. [Cases: Securities Regulation 40.12. C.J.S. Securities Regulation §§ 157–158, 165.]
pawnbroker
pawnbroker, n. One who lends money, usu. at a high interest rate, in exchange for personal property that is deposited as security by the borrower. [Cases: Consumer Credit 5. C.J.S. Interest and Usury; Consumer Credit § 352.] — pawnbroking, n.
Army Brokerage Acts
Army Brokerage Acts 〈英〉《军职买卖法》 系1875年《团职调换法》〔Regimental Exchange Act〕中使用的总称，是指1557年和1809年所有有关禁止军职买卖的法规。
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responsible broker dealer
A broker-dealer who communicates bids or offers on the floor of a stock exchange at the designated location for trading in a reported security or who, in an off-exchange transaction, communicates the bid or offer as either a principal or an agent, for its own or another’s account. SEC Rule 11Ac1-1(a)(21) (17 CFR § 240.11Ac1-1(a)(21)).
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