Market intermediary

Market intermediary means a securities holding company; a broker or dealer; a futures commission merchant as defined in 1a of the Commodity Exchange Act of 1936 (7 U.S.C. 1a(28)); a swap dealer as defined in section 1a(49) of the Commodity Exchange Act of 1936 (7 U.S.C. 1a(49)); or a security-based swap dealer as defined in section 3(a)(71) of the Securities Exchange Act of 1934 (15 U.S.C. 78c(a)(71)).

Source

12 CFR § 349.2


Scoping language

None
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