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unlawful for any government securities broker or government securities ..... dealer (other than a registered broker or dealer or a financial institution ..... broker or government securities dealer is registered in accordance with ..... ) It shall be unlawful for any government securities broker or government ..... securities dealer that is a registered broker or dealer or a financial
unlawful for any broker or dealer which is either a person other than a ..... natural person or a natural person not associated with a broker or dealer ..... which is a person other than a natural person (other than such a broker or ..... ’ acceptances, or commercial bills) unless such broker or dealer is registered in ..... this subsection any broker or dealer or class of brokers or dealers
, or commercial bills), unless such broker or dealer is a member of a ..... succession to a United States broker or dealer ..... subsec. (k). Termination of a United States broker or dealer ..... be effective until such broker or dealer has become a member of a registered ..... securities association, or until such broker or dealer has become a member
30 days, or at a later date if the broker requests an extension and shows ..... : (1) The term “customs broker” means any person ..... qualifications of an applicant, the Secretary may conduct an examination to ..... A customs broker shall exercise ..... The failure of a customs broker that is
municipal securities dealer (other than one registered as a broker or dealer ..... protection of investors. Within forty-five days of the date of the filing ..... opportunity for hearing and shall be concluded within one hundred twenty days ..... such proceedings for up to ninety days if it finds good cause for such ..... conditionally or unconditionally exempt any broker, dealer, municipal securities
section, the rules of the exchange provide that any registered broker or ..... dealer or natural person associated with a registered broker or dealer may ..... and investors and not be associated with a member of the exchange, broker ..... a registered broker or dealer or (B) any natural person who is not, or is ..... not associated with, a registered broker or dealer
provide that any registered broker or dealer may become a member of such ..... be associated with a member of the association, broker, or dealer ..... — (A) the broker or dealer performing brokerage ..... offered are not being offered or provided by the broker or dealer on behalf ..... broker-dealer offering the securities
registered broker or dealer in any exempted security ..... examination of the books and records of registered brokers and dealers, (D ..... securities broker or dealer or other person violated financial responsibility rules ..... broker or dealer in any exempted security ..... “nonmember broker or dealer” in par. (1), substituted “term ‘nonmember
desirability of coordinating such examination with examinations conducted ..... regulatory duplication or undue regulatory burdens for such broker or dealer ..... conducting any such examination of a—” for “prior to conducting any such ..... examination of a”, inserted subpar. (A) designation before “registered clearing ..... ) , inserted “government securities broker, government securities dealer,” in
affiliated persons subject to examination by or reporting requirements of ..... (1), redesignated par. (1) as subsec. (a) and substituted “floor broker, or ..... floor trader” for “or floor broker ..... Pub. L. 102–546 effective 180 days after Oct ..... regulations necessary to implement such amendment no later than 180 days
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