Broker Dealer of Record definition

Broker Dealer of Record means GWM Limited or any successor or replacement thereto or any other entity appointed as broker dealer of record in accordance with the terms of the Broker Dealer of Record Agreement.
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Broker Dealer of Record the “Custodian”, the “Principal Paying Agent”, the “Registrar”, the “Calculation Agent”, the “Issue Agent”, the “Placing Agent” and the “Sale Agent” shall be construed as a reference to the party or parties identified in Column 1 of Schedule 1 acting in that capacity in relation to the Notes pursuant to the relevant Series Documents (as defined below) specified in Column 3 of Schedule 1.
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Broker Dealer of Record with respect to any Note is the Broker-Dealer which placed the Order for such Note or whom the Existing Owner of such Note has designated as its Broker-Dealer with respect to such Note, in each case as reflected in the records of the Auction Agent.
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Examples of Broker Dealer of Record in a sentence

  • GWM Limited (who may act as the Broker Dealer of Record and/or Portfolio Administrator and/or Authorised Participant in respect of a Series of ETP Securities) and the Determination Agent are under the common ownership of Xxxx Xxxxxxxx who is also a director of the Arranger.

  • GWM Limited (die kan optreden als de Broker Dealer of Record en/of Portefeuillebeheerder en/of Geautoriseerde Deelnemer met betrekking tot een Serie ETP Effecten) en de Bepalingsagent zijn onder de gemeenschappelijke eigendom van Xxxx Xxxxxxxx, die ook een bestuurder is van de Arrangeur.

Related to Broker Dealer of Record

  • Broker-Dealer Any broker or dealer registered under the Exchange Act.

  • Broker-Dealer Subsidiary means any Subsidiary that is registered as a broker-dealer under the Exchange Act or any other applicable law requiring similar registration.

  • Retailer of Record means the Retailer who is listed in FortisAlberta’s records through the procedures outlined in the Terms and Conditions, and thereby recognized by FortisAlberta and the Settlement System Code, as a particular Customer’s Retailer for a Point of Service at a particular time;

  • Shareholder of Record means the record owner of shares issued by an Investment Company or, in the case of joint ownership of such shares, all record owners, as designated (1) in the initial account application, or (2) in writing accompanied by a signature guarantee, or (3) pursuant to procedures as set forth in the Application.

  • Regular Dealer means a DBE firm that owns, operates, or maintains a store, warehouse, or other establishment in which the materials supplies, articles, or equipment of the general character described by the specifications and required under the contract are bought, kept in stock, and regularly sold or leased to the public in the usual course of business.

  • Owner of record The meaning set forth in the System Description.

  • Customer of Record means the person that applies for utility service and is identified in the account records of a public utility as the person responsible for payment of the public utility bill. A customer may or may not be an end user, as defined herein.

  • Lot of record means any lot, the description of which is properly recorded with the Register of Deeds, which at the time of its recordation complied with all applicable laws, ordinances, and regulations.

  • Relevant Record Date means the date on which a Bondholder’s ownership of Bonds shall be recorded in the CSD as follows:

  • Custodian of a government record or "custodian" means in the

  • Version of Record is defined as the final version of the Contribution as originally published, and as may be subsequently amended following publication in a contractually compliant manner, by or on behalf of the Publisher. Any linking, collection or aggregation of self-archived Contributions from the same Work is strictly prohibited. Appendix “Author’s Reuse Rights” The Publisher acknowledges that the Author retains the ability to copy, distribute or otherwise reuse the Contribution, without the requirement to seek specific prior written permission from the Publisher, (“Reuse”) subject to and in accordance with the following provisions: (a) Reuse of the Contribution or any part of it is permitted in a new edition of the Work or in a new monograph or new textbook written by the same Author provided that in each case the new work is published by the Publisher under a publishing agreement with the Publisher; and (b) Reuse of the Version of Record (as defined below) of the Contribution or any part of it is permitted in a thesis written by the same Author, and the Author is entitled to make a copy of the thesis containing content of the Contribution available in a repository of the Author’s awarding academic institution, or other repository required by the awarding institution; an acknowledgement should be included in the citation: “Reproduced with permission from Springer Nature”; and (c) any other Reuse of the Contribution in a new book, book chapter, proceedings or journal article, whether published by the Publisher or by any third party, is limited to three figures (including tables) or a single text extract of less than 400 words; and (d) any further Reuse of the Contribution is permitted only to the extent and in so far as is reasonably necessary: (i) to share the Contribution as a whole to no more than 10 research colleagues engaged by the same institution or employer as the Author for each colleague's personal and private use only; (ii) for classroom teaching use by the Author in their respective academic institution provided that the Contribution or any part of it is not included in course packs for sale or wider distribution to any students, institutions or other persons nor any other form of commercial or systematic exploitation; or (iii) for the Author to use all or parts of the Contribution in the further development of the Author's scientific and/or academic career, for private use and research or within a strictly limited circulation which does not allow the Contribution to become publicly accessible nor prejudice sales of, or the exploitation of the Publisher's rights in, the Contribution (e.g. attaching a copy of the Contribution to a job or grant application).

  • Registration Deadline means, for purposes of the Registration Statement required pursuant to Section 2(a)(i), the earlier of (i) the date that is seventy-five (75) days after the date that the applicable Registration Statement is actually filed or (ii) the date that is seventy-five (75) days after the applicable Filing Deadline and, with respect to any Registration Statement required pursuant to Section 2(a)(ii), the Additional Registration Deadline.

  • Close of Business means 5:00 p.m. (New York City time).

  • National Register of Historic Places means the list of districts, sites, buildings, structures, and objects significant in American history, architecture, archaeology, engineering and culture, authorized by the National Historic Preservation Act of 1966, as amended, and administered by the U.S. Department of the Interior, National Park Service. The list of Properties on the National Register of Historic Places in Florida is available from the Division.

  • Authorized distributor of record means a pharmaceutical wholesaler with whom a manufacturer has established an ongoing relationship to distribute the manufacturer's prescription drugs. An ongoing relationship is deemed to exist between such pharmaceutical wholesaler and a manufacturer, as defined in Section 1504 of the Internal Revenue Code, when the pharmaceutical wholesaler has a written agreement currently in effect with the manufacturer evidencing such ongoing relationship, and the pharmaceutical wholesaler is listed on the manufacturer's current list of authorized distributors of record.