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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
. government securities broker, government securities dealer, investment ..... ), unless such broker or dealer is a member of a securities association ..... States broker or dealer6 ..... ). Termination of a United States broker or dealer ..... not be effective until such broker or dealer has become a member of a
:(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 ..... have, for any continuous period of 120 days, at least one officer of the
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 ..... person, other than a natural person, which is not a registered broker or ..... registered broker or dealer
less than thirty days prior to admitting any registered broker or dealer to ..... 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
respect to any transaction by a registered broker or dealer in any exempted ..... for reasonable inspection and examination of the books and records of ..... where a government securities broker or dealer or other person violated ..... respect to any transaction by a broker or dealer in any exempted security ..... “nonmember professional” for “nonmember broker or dealer” in par. (1
desirability of coordinating such examination with examinations conducted ..... regulatory duplication or undue regulatory burdens for such broker or dealer ..... ”, substituted “prior to conducting any such examination of a—” for “prior ..... to conducting any such examination of a”, inserted subpar. (A) designation ..... . L. 99–571, § 102(i)(1), inserted “government securities broker
affiliated persons subject to examination by or reporting requirements of ..... substituted “floor broker, or floor trader” for “or floor broker ..... (b)(1) of Pub. L. 102–546 effective 180 days after ..... days after Oct. 28, 1992, see ..... Pub. L. 90–258 effective 120 days after
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