Agency Cross Transactions definition

Agency Cross Transactions has the meaning given to it in Section 3(a)(ix).
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Examples of Agency Cross Transactions in a sentence

  • Agency Cross Transactions enable the Portfolio Manager to aggregate purchases or sales of securities for the Fund at a set price and possibly to avoid an unfavorable price movement that may be created by placing such purchase or sale order into the market.

  • As such, the Portfolio Manger believes that Agency Cross Transactions can provide meaningful benefits for each Fund and its clients generally.

  • The Affiliated Broker-Dealers are also authorized to execute agency cross transactions (the "Agency Cross Transactions") on behalf of each Fund.

  • Wealthfront shall also send to Client, at least annually, a written statement identifying the total amount of such Agency Cross Transactions during the period included in the statement, and the total commissions or other remuneration received or to be received by Wealthfront or any of its affiliates in connection with such Agency Cross Transaction included in the statement.

  • Agency Cross Transactions are transactions which may be effected by the Affiliated Broker-Dealers acting for both the Fund and the counterparty to the transaction.

  • Client recognizes that Wealthfront or its affiliates may receive commissions, and have a potentially conflicting division of loyalties and responsibilities regarding, both parties to such Agency Cross Transactions.

  • The consent to Agency Cross Transactions set forth in this Section may be revoked by Client at any time by notifying Wealthfront in writing.

  • To the fullest extent permitted by the Guidelines and the Advisors Act, Fortegra and each Subsidiary authorize the Investment Adviser to execute Cross Trades and Agency Cross Transactions for its Accounts.

  • Authorization of Agency Cross Transactions Pursuant to Section 206(3) of the Investment Advisers Act of 1940 and Rule 206(3)-2 promulgated thereunder, the Client authorizes the Adviser to effect agency cross transactions for the Account and understands that with respect to agency cross transactions the Adviser will act as broker for, and receive commissions from, and have a potentially conflicting division of loyalties and responsibilities regarding both parties to such transactions.

  • Principal And Agency Cross Transactions Advisors Act Section 206(3)Review The CCO will review all transactions with advisory clients that involve either a principal or an agency cross transaction, to ensure that such transactions are in the best interests of the clients and written disclosure to the client of the capacity in which the Company is acting is provided.

Related to Agency Cross Transactions

  • Contactless Transaction means a Transaction that is authorised by you touching or holding your Card or linked device against or near a POS Terminal without the need to insert your Card.

  • Card Transactions means the value of goods and services purchased by means of the Card, and evidenced by sales receipt, or cash withdrawals effected with his Card, or at any point of sale.

  • Business Transaction means any initial merger, capital stock exchange, asset acquisition, stock purchase, reorganization or other similar business combination with one or more businesses involving the Company.

  • Retail transaction means the purchase of prepaid wireless telecommunications service from a seller for any purpose other than resale.

  • Securities Financing Transactions Regulation means Regulation (EU) 2015/2365 of the European Parliament and of the Council of 25 November 2015 on transparency of securities financing transactions and of reuse and amending Regulation (EU) No 648/2012;

  • Online Transaction means any Phone/Electronic Transaction requested through an Electronic Transmission over the Internet.

  • Public-finance transaction means a secured transaction in connection with which:

  • FICASH III Transaction means a repurchase transaction in which the Repurchase Date is the Banking Day next following the Sale Date and for which securities issued by the government of the United States of America that are direct obligations of the government of the United States of America shall constitute Eligible Securities.

  • Securitization Transaction Any transaction involving either (1) a sale or other transfer of some or all of the Mortgage Loans directly or indirectly to an issuing entity in connection with an issuance of publicly offered or privately placed, rated or unrated mortgage-backed securities or (2) an issuance of publicly offered or privately placed, rated or unrated securities, the payments on which are determined primarily by reference to one or more portfolios of residential mortgage loans consisting, in whole or in part, of some or all of the Mortgage Loans.

  • Consumer transaction means a transaction in which (i) an individual incurs an obligation primarily for personal, family, or household purposes, (ii) a security interest secures the obligation, and (iii) the collateral is held or acquired primarily for personal, family, or household purposes. The term includes consumer-goods transactions.

  • Consumer-goods transaction means a consumer transaction in which:

  • Formation Transactions means the transactions contemplated by this Agreement and the other Formation Transaction Documentation.

  • FICASH II Transaction means a repurchase transaction in which the Repurchase Date is the Banking Day next following the Sale Date and for which one or more of the following two categories of securities, as specified by the Funds, shall constitute Eligible Securities: (x) securities issued by the government of the United States of America that are direct obligations of the government of the United States of America, or (y) securities issued by or guaranteed as to principal and interest by the government of the United States of America, or by its agencies and/or instrumentalities, including, but not limited to, the Federal Home Loan Bank, Federal Home Loan Mortgage Corp., Government National Mortgage Association, Federal National Mortgage Association, Federal Farm Credit Bank, Federal Intermediate Credit Bank, Banks for Cooperatives, and Federal Land Banks.

  • Acquisition Transactions means the transactions contemplated by the Acquisition Agreement.

  • Master Transaction Agreement has the meaning set forth in the recitals.

  • Card Transaction means any purchase of goods and/or services or any transfer or cash advances effected by the use of a Card;

  • De Minimis Transaction means a transaction in an equity security (or an equivalent security) which is equal to or less than 300 shares, or is a fixed-income security (or an equivalent security) which is equal to or less than $15,000 principal amount. Purchases and sales, as the case may be, in the same security or an equivalent security within 30 days will be aggregated for purposes of determining if the transaction meets the definition of a De Minimis Transaction.

  • Significant business transaction means any business transaction or series of transactions that, during any one fiscal year, exceeds the lesser of $25,000 or 5 percent of the total operating expense of a provider.

  • NIMS Transaction As defined in the tenth Recital to this Agreement.

  • Pawn transaction means the same as that term is defined in Section 13-32a-102.

  • terrorism financing means directly or indirectly, unlawfully and wilfully, provides or collects funds with the intention that they should be used or in the knowledge that they are to be used, in full or in part, in order to carry out acts of terrorism.

  • SPAC Transaction means a transaction or series of related transactions by merger, consolidation, share exchange or otherwise of the Company with a publicly traded “special purpose acquisition company” or its subsidiary (collectively, a “SPAC”), immediately following the consummation of which the common stock or share capital of the SPAC or its successor entity is listed on the Nasdaq Stock Market, the New York Stock Exchange or another exchange or marketplace approved by the Board of Directors, including a majority of the Preferred Directors.

  • Specified Cash Management Agreement any agreement providing for treasury, depositary or cash management services, including in connection with any automated clearing house transfers of funds or any similar transactions between the Borrower or any Guarantor and any Lender or affiliate thereof or any Agent or affiliate thereof, which has been designated by such Lender and the Borrower, by notice to the Administrative Agent not later than 90 days after the execution and delivery by the Borrower or such Guarantor, as a “Specified Cash Management Agreement”.

  • Securities Transaction means a purchase of or sale of Securities.

  • ACH Transactions means any cash management or related services (including the Automated Clearing House processing of electronic fund transfers through the direct Federal Reserve Fedline system) provided by a Bank Product Provider for the account of Borrower or its Subsidiaries.

  • Real estate-related financial transaction means any transaction involving: