Broker Dealer of Record Agreement definition

Broker Dealer of Record Agreement means the amended and restated broker dealer of record agreement dated 18 December 2020 (as may be amended, supplemented, novated and/or replaced from time to time) entered into between the Issuer and the Broker Dealer of Record.
Sample 1Sample 2Sample 3

Examples of Broker Dealer of Record Agreement in a sentence

  • However, in line with general market trends, in the past year we have focused our training activity on core competencies and have cut back on what we perceive to be peripheral or non-essential activities.

  • References in this Broker Dealer of Record Agreement to this Broker Dealer of Record Agreement or to any other document are to this Broker Dealer of Record Agreement or such other document as amended, supplemented or replaced from time to time and include any document that amends, supplements or replaces them.

  • For the avoidance of doubt, the indemnity in favour of the Issuer set out in this Clause 4.3 is separate and in addition to any liability of the Broker Dealer of Record pursuant to Clause 3.5 of this Broker Dealer of Record Agreement.

  • Broker Dealer of Record GWM LTD has also been appointed to act as Broker Dealer of Record pursuant to the Broker Dealer of Record Agreement.

  • The Issuer, the Trustee and the Broker Dealer of Record agree that the Broker Dealer of Record Agreement for the Fourth Further Notes is constituted by the Master Broker Dealer of Record Terms (2018 Edition) as provided in Clause 6 of the Original Constituting Instrument (which shall apply to this Fourth Further Constituting Instrument as if set out in full herein).

  • No such resignation or termination of the appointment of the Broker Dealer of Record in relation to the Notes shall take effect until a new Broker Dealer of Record has been appointed in accordance with the terms of the Broker Dealer of Record Agreement.

  • A new future for an historic place – recognising that the role and function of the area draws from an expanding city centre with new links to Bulwell.

  • GWM Ltd, as Broker Dealer of Record, shall use all reasonable care in the performance of its duties under the Broker Dealer of Record Agreement but shall not be responsible for any loss or damage suffered by any party as a result of its performing its duties under the Broker Dealer of Record Agreement unless the same results from the fraud, wilful default, negligence or bad faith of the Broker Dealer ofRecord or its officers or employees.

  • Capitalised terms used in this Broker Dealer of Record Agreement but not otherwise defined shall have the meanings given to them in the Master Definitions Schedule (as amended, supplemented and/or replaced from time to time) relating to the Programme.

  • The Issuer, the Trustee and the Broker Dealer of Record agree that the Broker Dealer of Record Agreement for the Third Further Notes is constituted by the Master Broker Dealer of Record Terms (2018 Edition) as provided in Clause 6 of the Original Constituting Instrument (which shall apply to this Third Further Constituting Instrument as if set out in full herein).

Related to Broker Dealer of Record Agreement

  • 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.

  • Broker-Dealer Agreement means each agreement between the Auction Agent and a Broker-Dealer substantially in the form attached hereto as Exhibit A.

  • 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.

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

  • Restricted Broker-Dealer Any Broker-Dealer which holds Broker-Dealer Transfer Restricted Securities.

  • 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;

  • inter-dealer bond broker means a person or company that is approved by the Investment Industry Regulatory Organization of Canada under its Rule No. 36 Inter-Dealer Bond Brokerage Systems, as amended, and is subject to its Rule No. 36 and its Rule 2100 Inter-Dealer Bond Brokerage Systems, as amended from time to time;

  • Designated Broker Agreement means an agreement between the Manager, on behalf of the ETFs, and a Designated Broker;

  • IDR Transfer Agreement means an agreement to transfer, subject to the terms of Tariff, Part VI, section 237, Incremental Deliverability Rights to a party for the purpose of eliminating or reducing the need for Local or Network Upgrades that would otherwise have been the responsibility of the party receiving such rights. “Immediate-need Reliability Project” shall have the same meaning provided in the Operating Agreement.

  • Hospital purchaser/provider agreement (HPPA agreement) means a negotiated agreement entered between the fund and the hospital for the cost of hospital treatment.

  • Participating Broker-Dealer shall have the meaning set forth in Section 3(t) hereof.

  • Transfer Agreement means the agreement providing for a transfer of structured settlement payment rights.

  • Remarketing Agreement means a Remarketing Agreement to be entered into between the Company and one or more Remarketing Agents setting forth the terms of a Remarketing.

  • Voter registration deadline means the registration deadline provided in Section 20A-2-102.5.

  • Share Transfer Agreement means the share transfer agreement, in the agreed form, between the partners in the Company;

  • Dealer Manager Agreement shall have the meaning set forth in the preamble.

  • Asset Transfer Agreement means the asset transfer agreement dated September 12, 2014 between Centurion Real Estate Opportunities Trust and Centurion Apartment REIT pursuant to which Centurion Apartment REIT seeded the initial portfolio of Centurion Real Estate Opportunities Trust.

  • applicable Terms Agreement means the Terms Agreement dated the date hereof. To the extent not defined herein, capitalized terms used herein have the meanings assigned to such terms in the Indenture or the Pooling and Servicing Agreement. Unless otherwise stated herein or in the applicable Terms Agreement, as the context otherwise requires or if such term is otherwise defined in the Indenture or the Pooling and Servicing Agreement, each capitalized term used or defined herein or in the applicable Terms Agreement shall relate only to the Notes designated in the applicable Terms Agreement and no other Series, Class or Tranche of Notes issued by the Issuer. The Bank has prepared and filed with the Securities and Exchange Commission (the “Commission”) in accordance with the provisions of the Securities Act of 1933, as amended, and the rules and regulations of the Commission thereunder (collectively, the “Act”), a shelf registration statement on Form S-3 (having the registration number stated in the applicable Terms Agreement), including a form of prospectus, relating to the Notes and the Collateral Certificate. The registration statement as amended has been declared effective by the Commission. If any post-effective amendment has been filed with respect thereto, prior to the execution and delivery of the applicable Terms Agreement, the most recent such amendment has been declared effective by the Commission. Such registration statement, as amended at the time of effectiveness, including all material incorporated by reference therein and including all information (if any) deemed to be part of the registration statement at the time of effectiveness pursuant to Rule 430A under the Act, is referred to in this Agreement as the “Registration Statement.” The Bank proposes to file with the Commission pursuant to Rule 424(b) (“Rule 424(b)”) under the Act a supplement (the “Prospectus Supplement”) to the prospectus included in the Registration Statement (such prospectus, in the form it appears in the Registration Statement or in the form most recently revised and filed with the Commission pursuant to Rule 424(b) is hereinafter referred to as the “Basic Prospectus”) relating to the Notes and the method of distribution thereof. The Basic Prospectus and the Prospectus Supplement, together with any amendment thereof or supplement thereto, is hereinafter referred to as the “Prospectus.” Upon the execution of the applicable Terms Agreement, the Bank agrees with the Underwriters as follows:

  • Transfer Restricted Securities means Securities that bear or are required to bear the legend set forth in Section 2.3(b) hereto.

  • Participating Broker-Dealers shall have the meaning set forth in Section 4(a) hereof.

  • Initial Purchase Agreement means the Purchase Agreement (including the related Blanket Endorsement, Initial Xxxx of Sale and any attachments thereto) substantially in the form of Attachment A hereto (of which these Master Terms form a part by reference), to be executed by VL Funding, the VL Funding Eligible Lender Trustee on behalf of VL Funding, Funding and the Interim Eligible Lender Trustee on behalf of Funding, which shall certify that the representations and warranties made by VL Funding as set forth in Sections 5(A) and (B) and by the Servicer as set forth in Section 5(C) of these Master Terms are true and correct as of the Closing Date.

  • Subsequent Transfer Agreement A Subsequent Transfer Agreement substantially in the form of Exhibit Q hereto, executed and delivered by and among the Depositor, DLJMC and the Trustee and acknowledged by the Servicers, as provided in Section 2.01 hereof.

  • Issuer-ICSDs Agreement means the agreement entered into between the Issuer and each of the ICSDs;

  • Transfer-Restricted Security means any Security that constitutes a “restricted security” (as defined in Rule 144); provided, however, that such Security will cease to be a Transfer-Restricted Security upon the earliest to occur of the following events:

  • Issuer-Represented Limited-Use Free Writing Prospectus means any Issuer-Represented Free Writing Prospectus that is not an Issuer-Represented General Free Writing Prospectus. The term Issuer-Represented Limited-Use Free Writing Prospectus also includes any “bona fide electronic road show,” as defined in Rule 433 under the Securities Act, that is made available without restriction pursuant to Rule 433(d)(8)(ii), even though not required to be filed with the Commission.

  • NIMS Agreement Any agreement pursuant to which the NIM Securities are issued. NIMS Insurer: One or more insurers issuing financial guaranty insurance policies in connection with the issuance of NIM Securities.