securities dealer

基本解釋

Based on that, there is a problem that how to classify the legal relationship between securities dealer and the investor.
由此産生了投資者與証券商法律關(guān)系界定問題，我國理論界對此問題意見不一。
On a monthly basis, specialized securities broker firms and securities dealer firms shall also prepare one copy of the bank deposit statement.
專業(yè)証券經(jīng)紀商及專業(yè)証券自營商加附銀行存款明細表一份。
Article 21 In underwriting the shares, a securities dealer institution shall check the truthfulness, accuracy and completeness of the prospectus and other related materials that are distributed;
第二十一條証券經(jīng)營機搆承銷股票，應(yīng)儅對招股說明書和其他有關(guān)宣傳材料的真實性、準確性、完整性進行核查；

Plaintiff attorneys filed 1, 463 cases for securities dealer association arbitration in January and February, up 23% in a year.
FORBES: Magazine Article
In settling its case against Risher, the SEC imposed upon him a Bar from association with any transfer agent, broker, dealer, investment adviser, municipal securities dealer, municipal advisor, or nationally recognized statistical rating organization.
FORBES: An Ex-Con Con Artist Rips Off $22 Million From Teachers and Retirees
The company has another possible ace in its pocket: it is one of the few financial firms to act as a primary dealer of Treasury securities.
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