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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
30 days, or at a later date if the broker requests an extension and shows ..... :(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
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 ..... order granting registration shall not be effective until such broker or
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 ..... a registered broker or dealer or (B) any natural person who is not, or is ..... not associated with, a registered broker or dealer
by a registered broker or dealer in any exempted security ..... inspection and examination of the books and records of registered brokers and ..... securities broker or dealer or other person violated financial ..... transaction by a broker or dealer in any exempted security ..... ” for “nonmember broker or dealer” in par. (1), substituted “term ‘nonmember
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 before ..... , § 102(i)(1), inserted “government securities broker, government
affiliated persons subject to examination by or reporting requirements of ..... “floor broker, or floor trader” for “or floor broker ..... . L. 102–546 effective 180 days after Oct. 28 ..... regulations necessary to implement such amendment no later than 180 days after ..... . L. 90–258 effective 120 days after Feb. 19
the exchange without the services of another person acting as broker, (ii ..... ) any registered broker or dealer with which such a natural person is ..... associated, (iii) any registered broker or dealer permitted to designate as a ..... representative such a natural person, and (iv) any other registered broker or ..... broker or dealer who agrees to be regulated by such association and with
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