 | United States. Congress. Senate. Committee on Banking and Currency - 1933 - 1262 Seiten
...securities for his own account, but within the normal interpretation of that language he is not engaged in the business of buying and selling securities for his own account. Senator KEAN. Suppose that is the only business he has? Suppose he is a retired man? Mr. CORCORAN.... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1934 - 1106 Seiten
...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. Securities and Exchange Commission - 1962 - 1022 Seiten
...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 - 1953 - 1110 Seiten
...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 - 1938 - 48 Seiten
...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 - 1942 - 152 Seiten
...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 - 1953 - 1692 Seiten
...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 - 2000 - 1216 Seiten
...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... | |
 | 1949 - 736 Seiten
...participants, from the issuer; (b) Such transaction is effected by fc 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... | |
| |
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... 
