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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词条贡献者

双语律师Pablo，国际知名法学院法律专业，擅长翻译涉及高端品牌及消费品领域的法律文件。