Broker-Dealer Personnel Sample Clauses

Broker-Dealer Personnel c. (i) an officer, director, general partner, associated person,1 or employee of any FINRA member or of any U.S. or non-U.S. broker/dealer (other than a limited business broker/dealer); (ii) any agent of any FINRA member or any other broker/dealer (other than a limited business broker/dealer) that is engaged in the investment banking or securities business; or (iii) an immediate family member2 of any of the foregoing persons, provided that any such person (a) materially supports3, or receives material support from, the immediate family member, (b) is employed by or associated with a FINRA member, or an affiliate of such member, selling the new issue to the immediate family member, or (c) such person has an ability to control the allocation of the new issue. “
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Broker-Dealer Personnel. The Subscriber, or any person having a Beneficial Interest in the Subscriber, is:
Sample 1
Broker-Dealer Personnel. You are (a) an officer, director, general partner, associated person,2 or employee of a FINRA member or any other broker-dealer (other than a limited business broker-dealer);3 (b) an agent of a FINRA member or any other broker-dealer (other than a limited business broker-dealer) that is engaged in the investment banking or securities business; or (c) an immediate family member4 of a person specified in (a) or (b) if the person specified in (a) or (b): (i) materially supports,5 or receives
Sample 1
Broker-Dealer Personnel. You or a Person that has a beneficial interest in you is (a) an officer, director, general partner, associated person,14 or employee of a FINRA member or any other broker-dealer (other than a limited business broker-dealer);15 (b) an agent of a FINRA member or any other broker-dealer (other than a limited business broker-dealer) that is engaged in the investment banking or securities business; or (c) an immediate family member16 of a person specified in (a) or (b) if the person specified in (a) or (b): (i) materially supports,17 or receives material support from, the immediate family member; (ii) is employed by or associated with a FINRA member or an affiliate of a FINRA member that sells or has sold New Issues to the immediate family member; or (iii) has an ability to control the allocation of New Issues.
Sample 1
Broker-Dealer Personnel. The Purchaser, orMy personbavingaBeneficial Interest in the Purchaser. is: '.,
Sample 1

Related to Broker-Dealer Personnel

  • Broker-dealer The Buyer is a dealer registered pursuant to Section 15 of the Securities Exchange Act of 1934.

  • Broker/Dealer Relationships Neither the Company nor any of the Subsidiaries (i) is required to register as a “broker” or “dealer” in accordance with the provisions of the Exchange Act or (ii) directly or indirectly through one or more intermediaries, controls or is a “person associated with a member” or “associated person of a member” (within the meaning set forth in the FINRA Manual).

  • Broker-Dealer Status (a) Are you a broker-dealer? Yes ☐ No ☐

  • Adviser Personnel All investment personnel of the Adviser, when and to the extent engaged in providing investment advisory services and managerial assistance hereunder, and the compensation and routine overhead expenses of such personnel allocable to such services, shall be provided and paid for by the Adviser and not by the Company.

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