registered dealer
A dealer registered or required to be registered under the Securities Exchange Act of 1934. [Cases: Securities Regulation 40.10–40.16. C.J.S. Securities Regulation §§ 154–163, 165–168.]
Search Results for: registered dealer
dealer
dealer, n. 1. A person who purchases goods or property for sale to others; a retailer. 2. A person or firm that buys and sells securities for its own account as a principal, and then sells to a customer. See DEAL, n. & vb. registered dealer. A dealer registered or required to be registered under
investment banking
investment banking. The business of underwriting or selling securities; esp., the marketing of new stocks or bonds. “The term ‘investment banking’ can be used to encompass [underwriting, and acting as a dealer, broker, and market maker], and any person in a firm performing any of those functions could be called an investment banker. By convention,
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examining authority
A self-regulatory organization registered with the Securities and Exchange Commission and vested with the authority to examine, inspect, and otherwise oversee the activities of a registered broker or dealer.
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