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31 CFR § 1010.100(h) - General definitions - Broker or dealer in securities. (Formerly 103.11(f))

Date issued: Oct. 26 2010

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§1010.100 General definitions.

When used in this chapter and in forms prescribed under this chapter, where not otherwise distinctly expressed or manifestly incompatible with the intent thereof, terms shall have the meanings ascribed in this subpart. Terms applicable to a particular type of financial institution or specific part or subpart of this chapter are located in that part or subpart. Terms may have different meanings in different parts or subparts.

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(h) Broker or dealer in securities. A broker or dealer in securities, registered or required to be registered with the Securities and Exchange Commission under the Securities Exchange Act of 1934, except persons who register pursuant to section 15(b)(11) of the Securities Exchange Act of 1934.

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QuickCEN Commentary (651 words)

Notes:

Each subsection of 31 CFR § 1010.100 has its own entry in the Research System. See links below:

31 CFR § 1010.100(a) - General definitions - Accept. (Formerly 103.122(a)(1))
31 CFR § 1010.100(b) - General definitions - At one time (Formerly 103.122(a)(2))
31 CFR § 1010.100(c) - General definitions - Attorney General. (Formerly 103.122(a)(3))
31 CFR § 1010.100(d) - General definitions - Bank. (Formerly 103.122(a)(4))
31 CFR § 1010.100(e) - General definitions - Bank Secrecy Act. (Formerly 103.122(a)(6))
31 CFR § 1010.100(f) - General definitions - Beneficiary.
31 CFR § 1010.100(g) - General definitions - Beneficiary's bank.
31 CFR § 1010.100(h) - General definitions - Broker or dealer in securities.
31 CFR § 1010.100(i) - General definitions - Business day.
31 CFR § 1010.100(j) - General definitions - Commodity.
31 CFR § 1010.100(k) - General definitions - Common carrier.
31 CFR § 1010.100(l) - General definitions - Contract of sale.
31 CFR § 1010.100(m) - General definitions - Currency.
31 CFR § 1010.100(n) - General definitions - Deposit account.
31 CFR § 1010.100(o) - General definitions - Domestic.
31 CFR § 1010.100(p) - General definitions - Established customer.
31 CFR § 1010.100(q) - General definitions - Execution date.
31 CFR § 1010.100(r) - General definitions - Federal functional regulator. (Formerly 103.120(a)(2))
31 CFR § 1010.100(s) - General definitions - FinCEN. (Formerly 103.120(a)(3))
31 CFR § 1010.100(t) - General definitions - Financial institution.
31 CFR § 1010.100(u) - General definitions - Foreign bank.
31 CFR § 1010.100(v) - General definitions - Foreign financial agency.
31 CFR § 1010.100(w) - General definitions - Funds transfer.
31 CFR § 1010.100(x) - General definitions - Futures commission merchant.
31 CFR § 1010.100(y) - General definitions - Indian Gaming Regulatory Act.
31 CFR § 1010.100(z) - General definitions - Intermediary bank.
31 CFR § 1010.100(aa) - General definitions - Intermediary financial institution.
31 CFR § 1010.100(bb) - General definitions - Introducing broker-commodities.
31 CFR § 1010.100(cc) - General definitions - Investment security.
31 CFR § 1010.100(dd) - General definitions - Monetary instruments.
31 CFR § 1010.100(ee) - General definitions - Reserved
31 CFR § 1010.100(ff) - General definitions - Money services business.
31 CFR § 1010.100(gg) - General definitions - Mutual fund.
31 CFR § 1010.100(hh) - General definitions - Option on a commodity.
31 CFR § 1010.100(ii) - General definitions - Originator.
31 CFR § 1010.100(jj) - General definitions - Originator's bank.
31 CFR § 1010.100(kk) - General definitions - Payment date.
31 CFR § 1010.100(ll) - General definitions - Payment order.
31 CFR § 1010.100(mm) - General definitions - Person.
31 CFR § 1010.100(nn) - General definitions - Receiving bank.
31 CFR § 1010.100(oo) - General definitions - Receiving financial institution.
31 CFR § 1010.100(pp) - General definitions - Recipient.
31 CFR § 1010.100(qq) - General definitions - Recipient's financial institution.
31 CFR § 1010.100(rr) - General definitions - Secretary.
31 CFR § 1010.100(ss) - General definitions - Security.
31 CFR § 1010.100(tt) - General definitions - Self-regulatory organization:
31 CFR § 1010.100(uu) - General definitions - Sender.
31 CFR § 1010.100(vv) - General definitions - State.
31 CFR § 1010.100(ww) - General definitions - Prepaid access.
31 CFR § 1010.100(xx) - General definitions - Structure (structuring) -.
31 CFR § 1010.100(yy) - General definitions - Taxpayer Identification Number. (Formerly 103.121(a)(6))
31 CFR § 1010.100(zz) - General definitions - Territories and Insular Possessions.
31 CFR § 1010.100(bbb) - General definitions - Transaction.
31 CFR § 1010.100(ccc) - General definitions - Transaction account.
31 CFR § 1010.100(ddd) - General definitions - Transmittal of funds.
31 CFR § 1010.100(eee) - General definitions - Transmittal order.
31 CFR § 1010.100(fff) - General definitions - Transmittor.
31 CFR § 1010.100(ggg) - General definitions - Transmittor's financial institution.
31 CFR § 1010.100(hhh) - General definitions - United States.
31 CFR § 1010.100(iii) - General definitions - U.S. person.
31 CFR § 1010.100(jjj) - General definitions - U.S. Postal Service.
31 CFR § 1010.100(kkk) - General definitions - Closed loop prepaid access.
31 CFR § 1010.100(lll) - General definitions - Loan or finance company.
31 CFR § 1010.100(mmm) - General definitions - Housing government sponsored enterprise.