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554.8303 "Broker."

"Broker" means a person engaged for all or part of the person's time in the business of buying and selling securities, who in the transaction concerned acts for, buys a security from, or sells a security to, a customer. Nothing in this Article determines the capacity in which a person acts for purposes of any other statute or rule to which the person is subject.

Section History: Early form

[C66, 71, 73, 75, 77, 79, 81, § 554.8303]

Section History: Recent form

89 Acts, ch 113, § 18

Internal References

Referred to in § 554.8102

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Last update: Thu Feb 8 18:14:51 CST 1996
URL: /IACODE/1995/554/8303.html