Exchange Member Firm definition

Exchange Member Firm means a brokerage firm that holds at least one membership on a major U.S. stock exchange and is a member of a self-regulatory organization.
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Examples of Exchange Member Firm in a sentence

  • If you or a family member are associated with a Financial Industry Regulatory Authority (FINRA) or Exchange Member Firm, you agree to notify your employer before opening an HSBA and obtain any required authorizations.

  • The second cluster is a possible interaction between the most downstream components of the signaling cascade including BEM1, BNI1 and FUS1, mediating cell fusion (see website [21] for details).

  • Since 2007 he has been Chairman at Baron Global Financial Canada Ltd., a subsidiary of the Hong Kong Stock Exchange Member Firm VBG International Holdings Limited.

  • You certify that you are not a professional trader or money manager and that you are not associated with or employed by a NASD or Exchange Member Firm.

  • Since 2007 he has been Chairman at Baron Global Financial Canada Ltd., a subsidiary of the Hong Kong Stock Exchange Member Firm VBG Group.

  • They are responsible for guiding a company through compliance with AIM Rules and admission requirements.– Broker – must be a London Stock Exchange Member Firm.

  • Members and nonmember customers of a Minneapolis Grain Exchange Member Firm shall deposit and maintain initial and maintenance margins according to the Member Firm's requirements.

  • If the Account Owner or a family member is associated with a FINRA or Exchange Member Firm (as defined by applicable law and regulation), the Account Owner agrees to notify the Account Owner’s employer prior to opening an HSBA and to obtain any required authorizations.

  • You should be able to trade your FSGL shares by instructing that sharebroker, who will in turn pass your instructions on to a partner firm who is a Singapore Exchange Member Firm and who will execute the trade on your behalf.

  • Date: (Please sign exactly as name appears on Warrant) Taxpayer ID No. Signature guaranteed by (National Bank or New York Stock Exchange Member Firm) EXERCISE FORM (To be executed by Holder to purchase Common Stock pursuant to the Warrant) American IronHorse Motorcycle Company, Inc.

Related to Exchange Member Firm

  • Exchanging Member means a Member that Exchanges some or all of its Units.

  • Initial Member has the meaning set forth in the introductory paragraph.

  • Tribal Member means an enrolled member of the Tribe.

  • Participating member means an eligible employee who elects to participate in the defined contribution retirement plan established under this chapter.

  • Additional Member has the meaning set forth in Section 12.02.

  • Original member of this retirement system means:

  • Founding Member means any individual who is either:

  • Full Member means any person who is in one of the categories of membership referred to in Rule 10.3.

  • General Member means a member subject to the provisions of

  • Trading Partner means any external computer interoperating with a Licensed Component through one or more protocols, one or more networks, or one or more adapters;

  • Council Member means a member of the Council;

  • Founding Members means those public school districts, cities, counties, and other governmental units that are signatories to the Joint Powers Agreement and have a voting member serving on the JPA's Board of Directors.

  • Scheme Member means an Eligible Person who is included in the Scheme as per the Scheme rules as member of that Scheme.

  • Common Unitholder means a Member who is the registered holder of Common Units.

  • Deferred member means a person who elected to receive deferred vested retirement

  • Managing Member means CEF Equipment Holding, L.L.C., a Delaware limited liability company or any successor Managing Member under the Issuer Limited Liability Company Agreement.

  • Public member means an individual who is not, and never

  • investment firm means any legal person whose regular occupation or business is the provision of one or more investment services to third parties and/or the performance of one or more investment activities on a professional basis;