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e-CFR data is current as of August 13, 2020

Title 31Subtitle BChapter VPart 560Subpart C → §560.321


Title 31: Money and Finance: Treasury
PART 560—IRANIAN TRANSACTIONS AND SANCTIONS REGULATIONS
Subpart C—General Definitions


§560.321   United States registered broker or dealer in securities.

The term United States registered broker or dealer in securities means any U.S. citizen, permanent resident alien, or entity organized under the laws of the United States or of any jurisdiction within the United States (including its foreign branches), or any agency, office or branch of a foreign entity located in the United States, that:

(a) Is a “broker” or “dealer” in securities within the meanings set forth in the Securities Exchange Act of 1934;

(b) Holds or clears customer accounts; and

(c) Is registered with the Securities and Exchange Commission under the Securities Exchange Act of 1934.

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