 | United States. Securities and Exchange Commission - 1976 - 372 páginas
...its own account as a dealer. Section 3(a)(5) of the Exchange Act defines the term "dealer" to mean "any person engaged in the business of buying and selling securities for its own account, through a broker or otherwise, but does not include a bank, or any person insofar... | |
 | United States - 1991 - 692 páginas
...withdrawn, whether or not sentence has been imposed. (7) "Dealer" means any person regularly engaged in the business of buying and selling securities for his own account, through a broker or otherwise, but does not include a bank, insurance company, or investment company,... | |
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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" means any person engaged in the business of buying and selling securities for his own... 
