 | United States. Congress. Senate. Committee on Banking and Currency - 1933 - 1262 páginas
...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 - 984 páginas
...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 páginas
...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 - 1938 - 48 páginas
...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 - 1962 - 1022 páginas
...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 páginas
...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 - 1942 - 152 páginas
...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 páginas
...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 páginas
...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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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... 
