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http://www.investopedia.com/exam-guide/series-63/registration-of-persons/broker-dealer-definition-exclusions.asp
... A broker-dealer is ANY person OR entity that acts in the BUSINESS of securities
transactions either for its own account (dealer), or for others (broker). ...
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http://www.investopedia.com/exam-guide/series-66/regulation-broker-dealers/default.asp
... Summary of Definition A broker-dealer is ANY person OR entity that acts in the business
of securities transactions either for its own account, or for others. ...
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http://www.investopedia.com/articles/retirement/03/031803.asp
... spouse, an entity, such as a charity, your estate or a type of trust. Request a
confirmation of receipt of the designation from your retirement account trustee ...
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http://www.investopedia.com/exam-guide/series-26/recordkeeping-rules/securities-investors-protection-act-1970.asp
... Each separate customer is covered, meaning that each account is considered
a separate legal entity. In order to be considered a ...
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http://www.investopedia.com/exam-guide/series-26/communications-customers/finra-conduct-rule-2211.asp
... means any: person described in Rule 3110 (c)(4), regardless of whether that person
has an account with an FINRA member; governmental entity or subdivision ...
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http://www.investopedia.com/articles/fundamental-analysis/11/accounting-intercorporate-investment.asp
... been originally classified as held-for-trading or designated ... more firms share control
of an entity, would also ... to investee), the investor must account for its ...
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http://www.investopedia.com/exam-guide/series-7/customer-accounts/partnership-corporation.asp
... with the broker-dealer to ensure that the entity is authorized ... sure that a corporation
can engage in margin trading if it has applied for a margin account. ...
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http://www.investopedia.com/exam-guide/finra-series-6/securities-industry-regulations/securities-investors-protection-act-1970.asp
... 5.8 Insider Trading and Securities Fraud Enforcement Act of ... customer is covered,
meaning that each account is considered a separate legal entity. ...
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http://www.investopedia.com/exam-guide/series-66/exam-preparation/default.asp
... their commissions by excessively trading in a client's account. ... A period of heavy
trading with few sustained price ... being); A legal person (ie an entity such as ...
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http://www.investopedia.com/articles/fundamental-analysis/09/mark-to-market-accounting.asp
... FAS 157 stipulates that trading assets be assigned ... Companies can elect to account
for almost any ... restrictions that require the borrowing entity to maintain ...
