Security dealer definition

Security dealer means a "dealer" as such term is defined under the Securities Exchange Act of
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Security dealer means a “dealer” as such term is defined under the Securities Exchange Act of 1934 (15 U.S.C. § 78a et seq.), or any successor law to the Securities Exchange Act of 1934, who is registered with the United States Securities and Exchange Commission.
Sample 1
Security dealer means any person engaged in the business of buying and selling securities for his own account, through a broker or otherwise, but does not include a bank or any person insofar as he buys or sells securities for his own account, either individually or in some fiduciary capacity, but not as part of a regular business.
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Examples of Security dealer in a sentence

  • No. 399:9-21.) The Court denied such additional27 discovery unless the evidence supported a finding of contempt on the central issue in ADT’s motion, whether Security One falsely represented it was an authorized GE Security dealer.

  • Security dealer (system sales/installation, service and monitoring by either your own central station or a third party) Security system sales/installation only (sell all/most accounts to another party) Security system monitoring only Systems integrator (primarily sell access control, video, etc.

  • Security dealer sells a security and he adds a margin to its price as a commission for its services.

  • These are:The existence of a sufficient number of Market Intermediaries such as Stock brokers, Issue Manager, Security dealer & Market Maker.

Related to Security dealer

  • Grain dealer means a person engaged in the business of receiving, buying, exchanging, selling, or storing farm produce in this state. The term includes a farm produce trucker, grain merchandiser, or processor. The term does not include a person solely engaged in 1 of the following:

  • Reference Treasury Dealer means: (1) Citigroup Global Markets Inc. or X.X. Xxxxxx Securities LLC, and their respective successors; provided, however, that if any of the foregoing shall cease to be a primary U.S. Government securities dealer in New York City (a “Primary Treasury Dealer”), the Company will substitute for such firm another Primary Treasury Dealer; and (2) any other Primary Treasury Dealer selected by the Independent Investment Banker after consultation with the Company.

  • Renminbi Dealer means an independent foreign exchange dealer of international repute active in the Renminbi exchange market in Hong Kong reasonably selected by the Issuer.

  • Reference Treasury Dealer Quotations means, with respect to each Reference Treasury Dealer and any Redemption Date, the average, as determined by the Trustee, of the bid and asked prices for the Comparable Treasury Issue (expressed in each case as a percentage of its principal amount) quoted in writing to the Trustee by such Reference Treasury Dealer at 5:00 p.m., New York City time, on the third Business Day preceding such Redemption Date.

  • Reference German Bund Dealer means any dealer of German Bundesanleihe securities appointed by the Issuer in good faith; and