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module three stock registration and purchasing the roles of broker dealers in this module we will discuss brokers and dealers and the different types of stock plans from which a stock holder can choose the term broker and dealer are defined under the Securities Exchange Act of 1934 under the Exchange Act a broker is defined as any person engaged in the business of effecting transactions in securities for the account of others the Exchange Act defines a dealer as any person engaged in the business of buying and selling securities for his own account through a broker or otherwise the legal definition of a broker is a person who conducts transactions on behalf of someone else however in some situations whether a person is a broker may not be clear the SEC has provided a non-exhaustive list of additional activities that would require broker registration included in this list are a providing investment advice or financial consultant services be controlling or operating a platform to trade s