securities dealer

基本解释

Based on that, there is a problem that how to classify the legal relationship between securities dealer and the investor.
由此产生了投资者与证券商法律关系界定问题，我国理论界对此问题意见不一。
On a monthly basis, specialized securities broker firms and securities dealer firms shall also prepare one copy of the bank deposit statement.
专业证券经纪商及专业证券自营商加附银行存款明细表一份。
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;
第二十一条证券经营机构承销股票，应当对招股说明书和其他有关宣传材料的真实性、准确性、完整性进行核查；

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.
FORBES: Countrywide Is On Its Side