| United States. Congress. House. Committee on Interstate and Foreign Commerce - 1934 - 984 pages
...securities. Under section 3, any person engaged in the business of buying and selling securities for liis own account is a dealer. As the sole business done...go out of existence. Another provision of the bill wliich threatens the existence of the odd-lot dealer system is that wliich prohibits short selling... | |
| United States. Congress. Senate. Interstate and Foreign Commerce Committee - 1934 - 972 pages
...buy securities for the account of others. Section 3, subdivision 5 to read, "The term 'dealer' means any person engaged in the business of buying and selling securities for his own account, through a broker or otherwise, the chief purpose of which is to give investors a service that will... | |
| United States - Corporation law - 1938 - 48 pages
...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 account, through a broker or otherwise, but does not include a bank, or any person insofar as he buys or sells... | |
| United States. Securities and Exchange Commission - Securities - 1962 - 1022 pages
...he had only a very brief opportunity to 'Section 3(a)(5) of the Exchange Act defines as a "dealer" any person engaged In the business of buying and selling securities for his own account, through a broker or otherwine, bat does not Include a bank, or any person Insofar as he buys or sells... | |
| United States. Securities and Exchange Commission - Securities - 1953 - 1110 pages
...account of others, but does not include a bank. Section 3 (a) (5) of the Act defines a "dealer" as — any person engaged in the business of buying and selling securities for his own account, through a broker or otherwise, but does not include a bank, or any person insofar as he buys or sells... | |
| United States. Securities and Exchange Commission - Securities - 1942 - 152 pages
...participants, from the issuer; (5) Such transaction is effected by a person who is otherwise engaged in the business of buying and selling securities for his own account, through a broker or otherwise, as a part of a regular business; and (c) If the person effecting such... | |
| United States - Law - 1953 - 1692 pages
...the account of others, but does not include a bank. §78b Page 1695 ¡78c (5) The term "dealer" means cal quarter for which market quotations are readily available, the market value at the e through a broker or otherwise, but dees not include a bank, or any person insofar as he buys or sells... | |
| United States - Law - 2000 - 1216 pages
...as the Commission considers appropriate. (5) DEALER.— (A) IN GENERAL. — The term "dealer" means any person engaged in the business of buying and selling securities for such person's own account through a broker or otherwise. (B) EXCEPTION FOR PERSON NOT ENGAGED IN THE... | |
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