dealer in securities


dealer in securities
A merchant of securities with an established place of business, regularly engaged in the purchase of securities and their resale to customers. Internal Revenue Code § 1236(c); Helvering v Fried, 299 US 175, 81 L Ed 104, 57 S Ct 150; one who engages in repeated and continuous transactions in securities, as distinguished from a person who buys or sells only occasionally. 47 Am J1st Secur A § 21.

Ballentine's law dictionary. . 1998.

Look at other dictionaries:

  • regular dealer in securities — A person or corporation licensed to deal and actually dealing with the general public in the purchase and sale of securities. Trading Associates Corp. v Magruder (CA4 Md) 112 F2d 779. A merchant of securities, whether an individual, partnership,… …   Ballentine's law dictionary

  • dealer — deal·er n: one that deals; specif: a person or entity that buys and sells securities for his or her or its own account and not for others compare broker Merriam Webster’s Dictionary of Law. Merriam Webster. 1996 …   Law dictionary

  • Securities and Exchange Commission, Bangladesh — Securities and Exchange Commission(SEC) is the regulator of the capital market of Bangladesh,comprising of Dhaka Stock Exchange and Chittagong Stock Exchange.BackgroundSEC was established on 8th June, 1993 under the Securities and Exchange… …   Wikipedia

  • securities lending — also stock lending The outright transfer of securities against a promise to re transfer subsequently equivalent securities; the borrower transfers to the lender other securities or cash by way of collateral. Typically, the loan will be made to a… …   Law dictionary

  • Dealer — may refer to: Antique dealer, someone who sells Antiques Art dealer, gallerist, somebody (a person) or company that buys and sells (works of) art Broker dealer, a legal term for a business firm that buys and sells securities before selling the… …   Wikipedia

  • dealer — A firm or an individual who buys and sells for his own account. A dealer has ownership, even if only for an instant, between a purchase from one party and a sale to another party, and is thus compensated by the spread between the price paid and… …   Financial and business terms

  • Securities research — An example of a bond. Securities analysts may carry out research on bonds, stocks and any other type of security. Securities research is a discipline within the financial services industry. Securities research professionals are known most… …   Wikipedia

  • Securities Investor Protection Corporation — The Securities Investor Protection Corporation (SIPC) is a federally mandated non profit corporation in the United States that protects securities investors from harm if a broker/dealer defaults. Investors are not insured for any potential loss… …   Wikipedia

  • Dealer-Median Prepayment Speed — The median value of all Wall Street securities dealers’ prepayment speed estimates for the underlying mortgages used to form mortgage backed securities. The prepayment speed estimates used by banks and other regulated financial enterprises… …   Investment dictionary

  • dealer — In the popular sense, one who buys to sell; not one who buys to keep, or makes to sell. One who purchases goods or property for resale to final customers; a retailer. See also retailer The term dealer means any person engaged in the business of… …   Black's law dictionary


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