registered dealer

基本解释

The SEC says Madoff was registered with it both as a broker-dealer and an investment adviser.
証券交易委員會說馬多夫的公司既是以証券經紀，又是投資顧問公司的名義注冊的。
Hilfiger is believed to have a partial stake in the Ferrari dealer in Montreal, Quebec, and thus, his car is registered in Canada.
希爾菲格，相信是有部分股權，法拉利經銷商在矇特利爾，魁北尅，因此，他的車是在加拿大注冊的。
Has a firm or company registered under the securities laws of any jurisdiction as a securities dealer, broker, investment advisor or underwriter, suspended or terminated your employment for cause?
是否曾因某種原因被依法注冊的券商、經紀、投資顧問或承銷商暫時中止或永久終結工作？
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There would however be limited exceptions, as specified in the rule, to permit a broker or dealer to reasonably allocate certain controls and procedures to another registered broker or dealer that, based on its position in the transaction and its relationship with the ultimate customer, can more effectively implement them.
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