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[DOC File]Draft--November 9, 2001
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The following are excluded from the definition of “account”: (1) an account that the broker-dealer acquires through any acquisition, merger, purchase of assets or assumption of liabilities and (2) an account opened for the purpose of participating in an employee benefit plan established under the Employee Retirement Income Security Act of ...
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Extension of Rule 15c3-3 - DASHBOARD
In order for a financial institution authorized to do business in this State to qualify for the exclusion from the definition of “broker-dealer” in 32 M.R.S.A. §16102(4), that financial institution authorized to do business in this State must comply with all provisions of this section that are applicable to …
what does a broker dealer do

Broker-Dealer: What Is It?
The broker-dealer establishes a contractual relationship with each third-party vendor of research products and services so that it is obligated for payment under all such contract; An appropriate unit of the broker-dealer produces a master approved list of all third-party soft dollar arrangements and client-directed brokerage arrangements.
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[DOC File]Title 36b - Connecticut
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1. Definition of Broker-Dealer. In light of the definition of “broker or dealer in securities” in 31 CFR 103.11(f), reporting would be required by any: broker or dealer in securities, registered or required to be registered with the Securities Exchange Commission under the Securities Exchange Act of 1934.
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[DOC File]Broker’s Representation Letter
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The following are excluded from the definition of “account”: (1) an account that the broker-dealer acquires through any acquisition, merger, purchase of assets or assumption of liabilities and (2) an account opened for the purpose of participating in an employee benefit plan established under the Employee Retirement Income Security Act of ...
what is a broker dealer

[DOC File]Law Offices of Melanie L. Fein
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The Commission notes that a broker-dealer will need to obtain a letter from its bank regarding its Special Reserve Bank Account because either the broker-dealer changed the type of business it does and became subject to paragraph (e)(3) or (k)(2)(i) of Rule 15c3-3 or the broker-dealer established a new Special Reserve Bank Account.
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[DOCX File]Firm Policy
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A broker-dealer, for example, may contract with an unregistered party such as a bank to send out transaction confirmations on behalf of the broker-dealer or have an arrangement with an affiliated bank to provide customers with combined statements, with the broker-dealer remaining responsible for the accuracy and completeness of those ...
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[DOC File]02-
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We are acting on behalf of _____ (“Seller”) as Seller’s broker regarding the proposed sale by Seller of _____ shares of securities issued by _____. We have been provided with a representation letter from Seller stating that Seller is not an affiliate of the issuer and has not …
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[DOC File]Auction Rate Securities_Broker Dealer Agreement (2007-09)
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“Broker-dealer” does not include (A) an agent, (B) an issuer, (C) a bank, as defined in Section 3(a)(6) of the Securities Exchange Act of 1934, when conducting activities that would except it from the definitions of “broker” or “dealer” under Sections 3(a)(4) or 3(a)(5) of the Securities Exchange Act of 1934, (D) a person who has no ...
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[DOC File]Broker-Dealer Trading Activities - McGuireWoods
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(d) “Broker-Dealer Agreement” shall mean this Broker-Dealer Agreement, including Exhibit A hereto, and any substantially similar agreement between the Auction Agent and a Broker-Dealer. (e) “Broker-Dealer Fee” shall mean the fee due to the BD, as set forth in Section 2.5(b) hereof.
what does a broker dealer do

Broker dealer definition