| http://www.w3.org/ns/prov#value | - Section 3(a)(4)(A) of the Securities Exchange Act defines a broker generally as ???any person engaged in the business of effecting transactions in securities for the account of others.???[1] Section 3(a)(5)(A) defines a dealer generally as ???any person engaged in the business of buying and selling securities (not including security-based swaps, other than security-based swaps with or for persons
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