Broker-dealer
Broker-dealer means a person registered or required to be registered as a broker or dealer with the Commission under the Securities Exchange Act of 1934 (15 U.S.C. 77a et seq.), except persons who register pursuant to 15 U.S.C. 78o(b)(11).
means a person registered or required to be registered as a broker or dealer with the Commission under the Securities Exchange Act of 1934 (15 U.S.C. 77aet seq.), except persons who register pursuant to15 U.S.C. 78o(b)(11).
), except persons who register pursuant to15 U.S.C. 78o(b)(11).
Source
31 CFR § 1023.100
Scoping language
Refer to 1010.100 of this chapter for general definitions not noted herein. To the extent there is a differing definition in 1010.100 of this chapter, the definition in this section is what applies to part 1023. Unless otherwise indicated, for purposes of this part: