Registered Broker or Dealer Under Regulation AC is a current Regulation AC defined term. This guide preserves the rule-specific meaning and boundary instead of replacing it with informal market shorthand.
ReviewedEvidence1 sourceSectionPhrases & Idioms
Quick answer
Regulation AC defines a registered broker or dealer by reference to brokers or dealers registered or required to register under the specified provisions of the Securities Exchange Act of 1934, including the rule’s stated government-securities registrations.
Key details
Canonical FormRegistered broker or dealer
Core MeaningRegulation AC defines a registered broker or dealer by reference to brokers or dealers registered or required to register under the specified provisions of the Securities Exchange Act of 1934, including the rule’s stated government-securities registrations.
Further guidance
History Boundary
This page reflects the current reviewed Regulation AC definition and should be rechecked if 17 CFR § 242.500 changes.
Meaning
Regulation AC defines a registered broker or dealer by reference to brokers or dealers registered or required to register under the specified provisions of the Securities Exchange Act of 1934, including the rule’s stated government-securities registrations.
Usage Boundary
The definition is specific to Regulation AC and should not be substituted for every ordinary-language, employment, or market use of the term.
Sources and evidence
Sources are shown with the role they play in this guide. Historical or style-sensitive claims are kept within the evidence boundary described above.
Covered Person Under Regulation AC is a current Regulation AC defined term. This guide preserves the rule-specific meaning and boundary instead of replacing it with informal market shorthand.
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