A Dealer Is a Person Who Assists in the Trading

question 42

True/False

A dealer is a person who assists in the trading process by buying or selling securities in the market for an investor.

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Definitions:

Federal Regulation

Laws or rules prescribed by federal agencies to govern activities and industries across the country.

Procedural Due Process

Procedural due process is a legal doctrine that requires the government to follow fair procedures before depriving a person of life, liberty, or property.

Fair Trial

A legal proceeding conducted according to the rules and principles established in the legal system to ensure an impartial and thorough hearing.

Charges

Fees or financial obligations that are required to be paid as part of a transaction or legal process.