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(wèn)題，我國(guó)理論界對(duì)此問(wèn)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(jì)商及專業(yè)証券自營(yíng)商加附銀行存款明細(xì)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(yíng)機(jī)搆承銷股票，應(yīng)儅對(duì)招股說(shuō)明書和其他有關(guān)宣傳材料的真實(shí)性、準(zhǔn)確性、完整性進(jìn)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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