Approved Brokerage Firm definition

Approved Brokerage Firm means each of E*Trade, TDAmeritrade, Bank of America Merrill Lynch, JPMorgan, Wells Fargo, Fidelity, Morgan Stanley, Citi, Interactive Brokers, and any additional brokers approved by the Company from time to time.
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Approved Brokerage Firm means each of E*Trade, TDAmeritrade, Merrill Lynch, JPMorgan, Wells Fargo, Fidelity, Morgan Stanley and any additional brokers approved by the Company from time to time.
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Approved Brokerage Firm means any brokerage firm of Xxxxxxx Xxxxx Financial, Inc., Xxxxxx Xxxxxxx Xxxxx Xxxxxx, LLC, Xxxxxxx Xxxxx & Co., Inc. or XX Xxxxxx Chase & Co. Each member of the Xxxxx Family shall provide written notice to StoneMor of his or her intention to dispose of more than 4,000 Units in any given trading day. Such notice will be provide by email to StoneMor, attn: Xxxx Xxxxxxxx (xxxxx@xxxxxxxx.xxx) or such other email address as may be designated by StoneMor in writing from time to time.
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Examples of Approved Brokerage Firm in a sentence

  • The Policy requires that all personal securities accounts be maintained at an "Approved Brokerage Firm." The Compliance Department has established procedures that have allowed the designation of the majority of Broker/Dealers as "Approved Brokerage Firms," the main requirement being the Carrying Broker/Dealer's ability to deliver confirmations of transactions electronically to the DBS Compliance Control Group ("Control Group").

  • If you choose to establish/maintain your accounts at an Approved Brokerage Firm, you are required to make a written application to that Firm, identifying yourself as a DB employee (see attachment).

  • Exceptions to the Approved Brokerage Firm List requirement may be granted by the CCO in very limited circumstances at the request of the Access Person.

  • Exceptions to the Approved Brokerage Firm List requirement may be granted by the CCO in limited circumstances at the request of the Access Person.

  • All Reportable Securities Accounts maintained by Access Persons, other than Independent Fund and Adviser Directors and Fund Directors that are not otherwise employed by Thrivent, must be maintained with firms that are on the Approved Brokerage Firm List (see Attachment A).

  • DB requires that its employees maintain their brokerage accounts at an "Approved Brokerage Firm" as determined by DB.

  • All Reportable Securities Accounts maintained by Access Persons, other than Independent Fund and Adviser Directors and Fund Directors that are not otherwise employed by Thrivent, must be maintained with firms that are on the Approved Brokerage Firm List(see Attachment A).

  • Web Street Securities If you choose to establish/maintain your accounts at an Approved Brokerage Firm, you are required to make a written application to that Firm, identifying yourself as a DB employee (see attachment).

  • Ernst & Company If you choose to establish/maintain your accounts at an Approved Brokerage Firm, you are required to make a written application to that Firm, identifying yourself as a DB employee (see attachment).

  • All Reportable Securities Accounts maintained by Access Persons, other than Independent Fund and Adviser Directors and Fund Directors that are not otherwise employed by Thrivent, must be maintained with firms that are on the Approved Brokerage Firm List (see 27 The PTA may be accessed through the Thrivent intranet site under “Requests and Forms”; “Compliance”; “Related Links”.

Related to Approved Brokerage Firm

  • Approved Third-Party Appraiser means each of (a) Xxxxxx, Xxxxxx & Co., (b) Xxxxxxxx Xxxxx Xxxxxx & Xxxxx Inc., (c) Lincoln International LLC (formerly known as Lincoln Partners LLC), (d) Duff & Xxxxxx Corporation, (e) Valuation Research Corporation, (f) Xxxxxxx & Xxxxxx, (g) Xxxxxx Xxxxxxxxx and (h) any other third party appraiser selected by the Borrower in its reasonable discretion.

  • Expert is defined in Section 7.9 of this Agreement.

  • Funding and Brokerage Fees means, in respect of a Series, all applicable fees other than the Arranger Fees, including, but not limited to, margin interest, securities lending fees, brokerage fees and costs of transaction taxes on the sale or purchase of Reference Assets (where relevant).

  • Adviser means a party furnishing services to the Trust pursuant to any contract described in Article IV, Section 7(a) hereof;

  • Accountant means the independent certified public accountant or independent certified public accounting firm retained by the Issuer to perform the duties of the Accountant under this Master Indenture.

  • Independent Expert means a Person or entity with no material current or prior business or personal relationship with the Advisor or the Directors and who is engaged to a substantial extent in the business of rendering opinions regarding the value of assets of the type held by the Company.

  • Independent Accountant has the meaning set forth in Section 2.04(c)(iii).

  • Appraiser An Independent nationally recognized professional commercial real estate appraiser who (i) is a member in good standing of the Appraisal Institute, (ii) if the state in which the related Mortgaged Property is located certifies or licenses appraisers, is certified or licensed in such state, and (iii) has a minimum of five years’ experience in the related property type and market.