securities dealer

securities dealer

n
1. (Banking & Finance) stock exchange a person who buys and sells securities
2. (Stock Exchange) stock exchange a person who buys and sells securities
Collins English Dictionary – Complete and Unabridged, 12th Edition 2014 © HarperCollins Publishers 1991, 1994, 1998, 2000, 2003, 2006, 2007, 2009, 2011, 2014
References in periodicals archive ?
1935), the court found that a broker could be regarded as a customer of a securities dealer when he:
H.R.3347 would also require municipal securities dealer banks (dealer banks) to incur the expense and administrative burdens of moving their municipal dealer departments out of the banks into separate brokerage firms.
(In an exchange of letters with the SIA, the Service agreed not to apply the profit test to certain securities dealer transactions, "unhedged spread loans" including "related party lending transactions" and certain "market making activities") It also can be expected that the IRS will use Compaq to attack egregious Notice 98-5-type transactions occurring prior to the notice's effective date.
Cenex stands for the proposition that, except in the case of a securities dealer, corporate stock always is a capital asset and a loss sustained thereon is a capital loss.
Attorneys' investigation of allegations of securities fraud and tax evasion by former principals of a failed government securities dealer, the U.S.
1058), a securities owner, such as a financial institution, will transfer securities (stocks or bonds) to a transferee, such as a securities dealer. The transferee is required at a future date to return to the owner identical securities and make "substitute payments" to the owner equal to all dividends and interest received in the interim.
In April, the Congregation forwarded $500,000 to Newell to cover a margin call made by a securities dealer. The CPA firm later that month sent the Congregation the final 1980 financial statements with the investments shown at market value, which required restating the 1978 and 1979 investment amounts from cost to market.
The amount is "allegedly for investment in the trading of precious metals at the Loco London market through alleged securities dealer MG Falconer Precious Metals Ltd.
Currently, there are 14 foreign securities dealer firms in Taiwan.
In addition, Treasury and the Service should include a transitory ownership exception where a bank or securities dealer is a member of an affiliated group during a brief period of the taxable year.
The CMA has approved mid-tier Chase Bank of Kenya Limited as the first authorised securities dealer in Kenya under the Capital Markets Act and Regulation.
Manulife Securities is a national securities dealer, and is a subsidiary of Manulife Financial.

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