31 C.F.R. § 537.322 U.S. registered broker or dealer in securities.
Title 31 - Money and Finance: Treasury
The term U.S. registered broker or dealer in securities means any U.S. citizen, permanent resident alien, or entity organized under the laws of the United States or of any jurisdiction within the United States, including its foreign branches, or any agency, office or branch of a foreign entity located in the United States, that: (a) Is a “broker” or “dealer” in securities within the meanings set forth in the Securities Exchange Act of 1934; (b) Holds or clears customer accounts; and (c) Is registered with the Securities and Exchange Commission under the Securities Exchange Act of 1934.
Title 31: Money and Finance: Treasury
PART 537—BURMESE SANCTIONS REGULATIONS
Subpart C—General Definitions
§ 537.322 U.S. registered broker or dealer in securities.
