31 CFR 538.318 - U.S. registered broker or dealer in securities.
§ 538.318
U.S. registered broker or dealer in securities.
The term U.S. registered broker or dealer in securities means any U.S. citizen, permanent resident alien, or entity organized under the laws of the United States or of any jurisdiction within the United States, including its foreign branches, or any agency, office or branch of a foreign entity located in the United States, that:
(a)
Is a “broker” or “dealer” in securities within the meanings set forth in the Securities Exchange Act of 1934;
(c)
Is registered with the Securities and Exchange Commission under the Securities Exchange Act of 1934.
[70 FR 34062, June 13, 2005]
Title 31 published on 2012-07-01
no entries appear in the Federal Register after this date.
This is a list of United States Code sections, Statutes at Large, Public Laws, and Presidential Documents, which provide rulemaking authority for this CFR Part.
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