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Article NO. Content

Title:

Securities and Exchange Act  CH

Amended Date: 2020.05.19 
Article 16 (Types of Securities Firms)
    Anyone which operates any of the securities businesses specified in the preceding Article shall be a securities firm; securities firms may be categorized into:
  1. a "securities underwriter" operates the business specified in subparagraph 1 of the preceding Article.
  2. a "securities dealer" operates the business specified in subparagraph 2 of the preceding Article.
  3. a "securities broker" operates the business specified in subparagraph 3 of the preceding Article.