broker

(2) Application (A) In general The rules promulgated by the Securities and Exchange Commission under paragraph (1)(A) shall apply to a broker, dealer, transfer agent, municipal securities dealer, municipal securities broker, government securities broker, government securities dealer, investment adviser or investment company, or any individual associated with a broker, dealer, transfer agent, municipal securities dealer, municipal securities broker, government securities broker, government securities dealer, investment adviser or investment company. The rules promulgated by the Federal Trade Commission under subsection (a) shall not apply to persons described in the preceding sentence. (B) Definitions For purposes of subparagraph (A)— (i) the terms “broker”, “dealer”, “transfer agent”, “municipal securities dealer”, “municipal securities broker”, “government securities broker”, and “government securities dealer” have the meanings given such terms by paragraphs (4), (5), (25), (30), (31), (43), and (44) of section 78c(a) of this title ; (ii) the term “investment adviser” has the meaning given such term by section 80b–2(a)(11) of this title ; and (iii) the term “investment company” has the meaning given such term by section 80a–3(a) of this title .

Source

15 USC § 6102(d)(2)

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Scoping language

None identified, default scope is assumed to be the parent (chapter 87) of this section.

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