broker

(6)The term “broker” has the same meaning as given in section 3 of the Securities Exchange Act of 1934 [15 U.S.C. 78c], except that such term does not include any person solely by reason of the fact that such person is an underwriter for one or more investment companies.

Source

15 USC § 80a-2(a)(6)


Scoping language

When used in this subchapter
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