 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...  Hearings - Page 265by United States. Congress. House. Committee on the District of Columbia - 1964Full view - About this book
 | United States. Congress. Senate. Committee on Banking and Currency - Stock exchanges - 1933 - 594 pages
...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... | |
 | United States. Congress. Senate. Interstate and Foreign Commerce Committee - 1934 - 972 pages
...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... | |
 | United States - Corporation law - 1938 - 48 pages
...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... | |
 | United States. Congress. Senate. Committee on Banking and Currency - Brokers - 1938 - 144 pages
...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... | |
 | United States. Securities and Exchange Commission - Securities - 1953 - 828 pages
...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... | |
 | United States. Securities and Exchange Commission - Securities - 1953 - 734 pages
...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... | |
 | United States. Congress. Senate. Banking and Currency Committee - 1938 - 138 pages
...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... | |
 | United States. Securities and Exchange Commission - Securities - 1960 - 996 pages
...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... | |
 | United States - Law - 1953 - 1692 pages
...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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