Broker definition

Broker means any person engaged in the business of effecting transactions in securities for the account of others.

Broker investment adviser," "net assets," "sale," "sell" and "security" shall have the same meanings as such terms have in the 1940 Act, subject to such exemption as may be granted by the SEC by any rule, regulation or order. Where the effect of a requirement of the federal securities laws reflected in any provision of this Agreement is made less restrictive by a rule, regulation or order of the SEC, whether of special or general application, such provision shall be deemed to incorporate the effect of such rule, regulation or order. This Agreement may be signed in counterpart.

Broker means a person or entity that fills orders by purchasing or receiving supplies from a third party supplier rather than out of its own existing inventory and provides no commercially useful function other than acting as a conduit between his or her supplier and his or her customer.

Examples of Broker in a sentence

• The Recipient Broker shall be responsible for the Referral Fee due XXXX.xxx if the Referred Client closes with the Recipient Agent or a member of their team.

• From time to time, XXXX.xxx will refer potential clients to the real estate agents affiliated with the Recipient Broker identified above.

• XXXX.xxx will identify a Referred Client to Recipient Broker and/or Recipient Agent by either (i) sending an email and/or text message to Recipient Broker and/or Recipient Agent that includes the Referred Client’s contact information (ii) sending Recipient Broker and/or Recipient Agent a monthly report and agent portal that includes all Referred Clients who received Recipient Broker/Agent’s contact information through the XXXX.xxx platform.

• No. 304381 Broker at EXCLUSIONS Our insurers include some further limits on what goods they will cover and the circumstances which could give rise to a claim under the policy.

• Xxxx Xxxxxxxx, Xxxxxx ; Xxxxxx Xxxxxxx, Auctioneer; and Xxxxx Xxxxx, Managing Broker are designated agents with First Mid Ag Services, a Division of First Mid Wealth Management and represent only the Seller in this transaction.

More Definitions of Broker

Broker means a licensed Georgia real estate broker and the broker’s affiliated licensees. The relationship of the listing Broker and the selling Broker to the Purchaser and Seller is as specified below. Only the part of this Exhibit that is selected is part of the Offer for the purchase and sale of the real property listed above: Listing Broker: {Select A or B below. The section not marked shall not be part of this Exhibit}

Broker dealer," "investment adviser," "national securities exchange," "net assets," "prospectus," "sale," "sell" and "security" shall have the same meaning as such terms have in the 1940 Act, subject to such exemption as may be granted by the Securities and Exchange Commission by any rule, regulation or order. Where the effect of a requirement of the 1940 Act reflected in any provision of this Contract is made less restrictive by a rule, regulation or order of the Securities and Exchange Commission, whether of special or general application, such provision shall be deemed to incorporate the effect of such rule, regulation or order.

Broker means a stock broker as defined in Securities and Exchange Board of India (Stock Brokers) Regulations, 1992.

Broker means a person defined as a broker or dealer under the federal securities laws, but without excluding a bank acting in that capacity.

Broker means a duly licensed electric power supplier that

Broker means a person lawfully engaged in the business of effecting transactions in securities or commodities for the person's own account or for the account of others.

Broker means any person or entity that fills orders by purchasing or receiving supplies rather than out of its own existing inventory and provides no substantial service other than acting as a conduit between his or her supplier and his or her customer.