Member Firm definition

Member Firm or “Member” means a partnership, corporation or legal entity admitted to Exchange membership and whose membership has not been terminated. For the purpose of the compliance procedures, a Member Firm shall include a former Member Firm where appropriate;

Member Firm means a member or participant of any of the Participating SROs that is a registered dealer in Canada.

Member Firm means a Principal Firm, an Affiliate Industry Firm, an Agent Firm or a

Examples of Member Firm in a sentence

• This Contract shall be construed in accordance with the laws of the Commonwealth of Massachusetts.Very truly yours,By:Name:Title:For: NYLIFE DISTRIBUTORS, LLC Name of Qualified Recipient (FINRA Member Firm) An affiliate of NEW YORK LIFE INSURANCE & ANNUITY CORPORATION FIDELITY DISTRIBUTORS CORPORATIONBy: NOTE: Please return TWO signed copies of this Service Contract to Fidelity Distributors Corporation.

• Dated: Signature of Holder Signature Guaranteed: Commercial Bank or Trust Company Or Member Firm of the New York Stock Exchange, Inc.

• It is understood that in no event shall any Syndicate Member Firm be obligated to take or purchase any Shares in the Offering.

• If Participant is an Associated Person employed by a Member Firm (as each such term is defined by the rules of the Financial Industry Regulatory Authority (“FINRA”)), nothing in this Agreement prohibits or restricts Participant or the Member Firm from filing an arbitration claim involving a Dispute in the FINRA arbitration forum as specified in FINRA rules.

• Name of NASD Member Firm By: Authorized Officer Date: The undersigned is informed of the significance to the Company of the foregoing representations and answers contained in this Investor Questionnaire and such answers have been provided under the assumption that the Company will rely on them.

More Definitions of Member Firm

Member Firm means a member as that term is defined in Section 3(a)(3) of the Exchange Act.

Member Firm means a partnership which carries on a business of dealing in securities and is recognised as a dealing member by a stock exchange;

Member Firm means a Firm which is a Member;

Member Firm means a partnership, corporation or legal entity admitted to Exchange membership and whose membership has not been terminated.

Member Firm means a firm engaged in public practice where more than 50% of the rights to vote on all, or substantially all, matters of substance regarding the firm are held by members.

Member Firm means a Principal Firm, an Association Member Firm, an

Member Firm means the company, body corporate, partnership, undertaking, entity or juristic person that is a member of DTTL, and includes such member’s Associates, divisions, departments, predecessors, successors, assignees, and Personnel;