government securities dealer

Defined in 3 places across 2 titles — 2 distinct definitions of the United States Code.

“government securities dealer” has the meaning prescribed in section 3(a)(44) of the Securities Exchange Act of 1934.

Same definition in 2 sections

1994–present 31 U.S.C. § 3121Money and Finance · Procedure · under this chapter
1994–present 31 U.S.C. § 9110Money and Finance · Standards for depository institutions holding securities of a Government-sponsored corporation for customers · under this section

The term “government securities dealer” means any person engaged in the business of buying and selling government securities for his own account, through a broker or otherwise, but does not include—

(A) any person insofar as he buys or sells such securities for his own account, either individually or in some fiduciary capacity, but not as a part of a regular business;

(B) any corporation the securities of which are government securities under subparagraph (B) or (C) of paragraph (42) of this subsection;

(C) any bank, unless the bank is engaged in the business of buying and selling government securities for its own account other than in a fiduciary capacity, through a broker or otherwise; or

(D) any person registered with the Commodity Futures Trading Commission, any contract market designated by the Commodity Futures Trading Commission, such contract market's affiliated clearing organization, or any floor trader on such contract market, solely because such person effects transactions in government securities that the Commission, after consultation with the Commodity Futures Trading Commission, has determined by rule or order to be incidental to such person's futures-related business.

Source

1994–present 15 U.S.C. § 78CCommerce and Trade · Definitions and application · under this chapter