Broker-dealer services definition
Broker-dealer services means the investment banking or securities business carried on by a broker, dealer or municipal securities dealer, other than a bank or department or division of a bank, or government securities broker or dealer, of underwriting or distributing issues of securities, or of purchasing securities and offering the same for sale as a dealer, or of purchasing and selling securities upon the order and for the account of others.
Broker-dealer services means the investment banking or securities business as defined in paragraph (p) of Article 1 of the By-Laws of FINRA.
Broker-dealer services means the investment banking or securities business as defined in paragraph (p) of Article 1 of the By-Laws of the Financial Industry Regulatory Authority, Inc.
More Definitions of Broker-dealer services
Broker-dealer services means investment banking or securities business as defined in Article I of the FINRA By-Laws.
Broker-dealer services means the investment bank- ing or securities business as defined in paragraph (p) of Arti- cle I of the By-Laws of the National Association of Securities Dealers, Inc.
Broker-dealer services means the investment banking or securities business as defined by the FINRA.
Broker-dealer services. ’ means the investment banking or securities business that is conducted by a broker-dealer or a municipal or government securities broker or dealer other than a financial institution or department or division of a financial institution and consists of any of the following:
Broker-dealer services means the investment banking or securities business as defined in paragraph (p) of Article 1 of the By-Laws of the National Association of Securities DealersFinancial Industry Regulatory Authority, Inc.
Broker-dealer services means the investment banking or securities business as defined in paragraph (p) of Article I of the By-Laws.] ([c]a) Standards for Member Conduct
Broker-dealer services means investment banking or securities