 broker" means any person engaged in the business of effecting transactions in securities for the account of others, but does not include a bank.  Decisions and Reports - Page 366by United States. Securities and Exchange Commission - 1953Full view - About this book
 | United States. Congress. Senate. Committee on Banking and Currency - 1933 - 594 pages
...liquidating agent of any institution included in clause (a), (b) or (c) of this paragraph. (7) The term "broker" means any person engaged in the business...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
...member is a 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...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 - 1968 - 374 pages
...as broker or dealer of which a member is a partner, and any partner of any such firm. (4) The term " broker " means any person engaged in the business...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... | |
 | United States. Securities and Exchange Commission - 1953 - 734 pages
...business as an underwriter or broker ; . . ." "Broker" in defined In Section 2 (a) (6) of the Act as: " 'Broker' means any person engaged In the business...bank or any person solely by reason of the fact that inch person Is an underwriter for one or more Investment companies." Greenfield & Co., being a real... | |
 | United States. Congress. Senate. Banking and Currency Committee - 1938 - 138 pages
...Securities Exchange Act of 1934 we have defined the term "broker." This subsection reads: (4) The term "broker" means any person engaged in the business...the account of others, but does not include a bank. Commissioner MATHEWS. That is it. The CHAIRMAN. It also specifically excludes banks, so I presume there... | |
 | United States. Securities and Exchange Commission - 1940 - 1240 pages
...began an inves• Section S (a) of the Securities Exchange Act of 1934 reads In part : (4) The term "broker" means any person engaged In the business...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... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1938 - 144 pages
...Securities Exchange Act of 1934 we have defined the term "broker." This subsection reads: (4) The term "broker" means any person engaged in the business...the account of others, but does not include a bank. Commissioner MATHEWS. That is it. The CHAIRMAN. It also specifically excludes banks, so I presume there... | |
 | United States - 1938 - 48 pages
...as broker or 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...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... | |
 | United States. Securities and Exchange Commission - 1955 - 1022 pages
...does not .apply to real estate brokers since Section 2 (a) (6), which defines "broker," states that "broker means any person engaged in the business of...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. House. Committee on Interstate and Foreign Commerce - 1940 - 164 pages
...liquidating agent of any institution or firm included in clauses (A), (B), or (C) of this paragraph . (3) " Broker" means any person engaged in the business of...the account of others, but does not include a bank. (4) "Commission" means the Securities and Exchange Commission. (5) " Company"means a corporation, a... | |
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