responsible broker-dealer
A broker-dealer who communicates bids or offers on the floor of a stock exchange at the designated location for trading in a reported security or who, in an off-exchange transaction, communicates the bid or offer as either a principal or an agent, for its own or another’s account. SEC Rule 11Ac1-1(a)(21) (17 CFR ¡ì 240.11Ac1-1(a)(21)).
What is the legal equivalence of responsible broker-dealer in Chinese?
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