securities, structured products or instruments that ... within the definition of “research report” ... concerning options, security futures or municipal securities) unless the supervisory analyst also holds the other registrations. With respect to investment schemes that do not fall within the traditional categories of securities listed in the definition of a security (Sec. 3(a)(10) of the 34 act) the US Courts have developed a broad definition for securities that must then be registered with the SEC. Re-Offer Price: A re-offer price is the price at which the underwriting syndicate of a debt issue resells the bonds or IPO securities to public investors. The Municipal Securities Rulemaking Board, (MSRB), is a regulating body which creates rules and policies for investment firms and banks in the issuing and sale of municipal … The definition of "dealer" does not include a "trader," that is, a person who buys and sells securities for his or her own account, either individually or in a fiduciary capacity, but not as part of a regular business. (e) “Broker-dealer” means any person engaged in the business of effecting transactions in securities for the account of others or for his own account. Government and Municipal Securities Dealer (GSD and MSD) Examination Composite Ratings; Rating Rating Definition; One (1) A rating of "1" is indicative of management that is fully effective with respect to almost all factors and exhibits a responsiveness and ability to cope successfully with existing and foreseeable problems that may arise in the conduct of the dealer's affairs. “Broker-dealer” does not include: (i) An agent; (ii) An issuer; (iii) A bank which meets the exceptions from the definition of “broker” under 2(a)(1) of the Securities Act of 1933 and Sec.
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