Broker-Dealers means collectively US Global Investors Services and US Global Investors Fund Distribution Company.
Broker-Dealers means financial intermediary or advisor.
Broker-Dealers has the meaning set forth in Exhibit 1.
Examples of Broker-Dealers in a sentence
Due Diligence In addition, as set forth in Memorandum, the Company may reimburse Participating Broker-Dealers for reasonable out-of-pocket due diligence expenses incurred by such Participating Broker-Dealers.
The Company and the Investor acknowledge that such Commitment Fee Shares or shares of Common Stock (as applicable) credited to the account with DTC of the Investor’s designated Broker-Dealer shall be eligible for transfer to the third-party purchasers of such Commitment Fee Shares or shares of Common Stock or their respective Broker-Dealers as DWAC Shares.
More Definitions of Broker-Dealers
Broker-Dealers means Xxxxxxx X. Xxxxx & Co., with respect to the Series A1-1 Notes through the Series A1-11 Notes and the Series B1-1 Notes and the Series B1-2 Notes, and shall mean Xxxxxxx Xxxxx Barney, Inc., with respect to the Series A1-12 Notes and the Series A1-13 Notes, and any other broker or dealer (each as defined in the Securities Exchange Act of 1934, as amended), commercial bank or other entity permitted by law to perform the functions required of a Broker-Dealer set forth in the Auction Procedures that (a) is a Participant (or an affiliate of a Participant), (b) has been appointed as such by the Issuer pursuant to Section 2.02(f) of this Appendix A, and (c) has entered into a Broker-Dealer Agreement that is in effect on the date of reference.
Broker-Dealers means those Persons meeting the definition of Section 3(a)(4)(A) and 5(A) of the Securities Exchange Act of 1934.
Broker-Dealers has the meaning given to it on the first page of this Agreement;
Broker-Dealers means any broker-dealer or broker-dealers, or other entity permitted by law to perform the functions required of a Broker-Dealer by the Auction Procedures, that has been selected by the Corporation and has entered into a Broker-Dealer Agreement with the Auction Agent that remains effective.
Broker-Dealers means any broker-dealer, or other entity permitted by law to perform the functions required of a Broker-Dealer in this
Broker-Dealers means any individual or firm in the business of buying and selling securities for itself and others (iv) “hedge funds” shall mean as a class, invest in a broad range of investments including shares, debt, commodities and so forth,
Broker-Dealers means the Broker-Dealer and any Other Broker-Dealers.