registered dealer

基本解释

The SEC says Madoff was registered with it both as a broker-dealer and an investment adviser.
证券交易委员会说马多夫的公司既是以证券经纪，又是投资顾问公司的名义注册的。
Hilfiger is believed to have a partial stake in the Ferrari dealer in Montreal, Quebec, and thus, his car is registered in Canada.
希尔菲格，相信是有部分股权，法拉利经销商在蒙特利尔，魁北克，因此，他的车是在加拿大注册的。
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?
是否曾因某种原因被依法注册的券商、经纪、投资顾问或承销商暂时中止或永久终结工作？
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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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