Broker-Dealers definition

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

• The Company shall provide sufficient copies of the latest version of such Prospectus to Broker-Dealers promptly upon request at any time during such 180-day (or shorter as provided in the foregoing sentence) period in order to facilitate such resales.

• The Company and the Guarantors further agree that Participating Broker-Dealers shall be authorized to deliver such Prospectus (or, to the extent permitted by law, make available) during such period in connection with the resales contemplated by this Section 4.

• Such "Plan of Distribution" section shall also contain all other information with respect to such sales by such Broker-Dealers that the Commission may require in order to permit such sales pursuant thereto, but such "Plan of Distribution" shall not name any such Broker-Dealer or disclose the amount of Transfer Restricted Securities held by any such Broker-Dealer, except to the extent required by the Commission as a result of a change in policy, rules or regulations after the date of this Agreement.

• The Exchange Offer shall be on the appropriate form permitting registration of the Exchange Securities to be offered in exchange for the Transfer Restricted Securities and to permit resales of Initial Securities held by Broker-Dealers as contemplated by Section 3(c) hereof.

• Such “Plan of Distribution” section shall also contain all other information with respect to such resales by Broker-Dealers that the Commission may require in order to permit such resales pursuant thereto, but such “Plan of Distribution” shall not name any such Broker-Dealer or disclose the amount of Initial Securities held by any such Broker-Dealer except to the extent required by the Commission as a result of a change in policy after the date of this Agreement.

More Definitions of Broker-Dealers

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 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 any broker-dealer, or other entity permitted by law to perform the functions required of a Broker-Dealer in this

Broker-Dealers means the Broker-Dealer and any Other Broker-Dealers.

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 has the meaning given to it on the first page of this Agreement;

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,