 | United States. Congress. Senate. Committee on Banking and Currency - 1933 - 594 pages
...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 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 - 1938 - 48 pages
...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. Securities and Exchange Commission - 1955 - 1022 pages
...estate brokers since Section 2 (a) (6), which defines "broker," states that "broker means any person engaged in the business of effecting transactions in securities for the account of others." Section 2 (a) provides that the definitions set forth therein shall apply "unless the context otherwise... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1938 - 144 pages
...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 - 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. Congress. Senate. Banking and Currency Committee - 1938 - 138 pages
...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. Congress. House. Committee on Interstate and Foreign Commerce - 1940 - 164 pages
...institution or firm included in clauses (A), (B), or (C) of this paragraph. (6) "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 - 1953 - 1692 pages
...institution or firm included In clauses (A), (B), or (C) of this paragraph. (3) "Broker" means any person "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"... | |
 | 1998 - 528 pages
...the Federal Deposit Insurance Act, 12 USC 1811 et seq. (8) Broker. The term "broker" means any person engaged in the business of effecting transactions in securities for the account of others. (9) Capital stock. The term "capital stock" includes permanent stock, guaranty stock, permanent reserve... | |
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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. 
