registered dealer

基本解釋

The SEC says Madoff was registered with it both as a broker-dealer and an investment adviser.
證券交易委員會(huì)說(shuō)馬多夫的公司既是以證券經(jīng)紀(jì)，又是投資顧問(wèn)公司的名義注冊(cè)的。
Hilfiger is believed to have a partial stake in the Ferrari dealer in Montreal, Quebec, and thus, his car is registered in Canada.
希爾菲格，相信是有部分股權(quán)，法拉利經(jīng)銷商在蒙特利爾，魁北克，因此，他的車是在加拿大注冊(cè)的。
Has a firm or company registered under the securities laws of any jurisdiction as a securities dealer, broker, investment advisor or underwriter, suspended or terminated your employment for cause?
是否曾因某種原因被依法注冊(cè)的券商、經(jīng)紀(jì)、投資顧問(wèn)或承銷商暫時(shí)中止或永久終結(jié)工作？
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There would however be limited exceptions, as specified in the rule, to permit a broker or dealer to reasonably allocate certain controls and procedures to another registered broker or dealer that, based on its position in the transaction and its relationship with the ultimate customer, can more effectively implement them.
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