Broker Firm Participant definition

Broker Firm Participant means a Person that (i) is a Participant (but not a General Participant), (ii) is registered as a Futures Commission Merchant or Introducing Broker or in another appropriate capacity, or is exempt from such registration, and (iii) enters Orders or executes Swaps on a Platform or subject to the Rules on an agency basis on behalf of Customers, or other Participants or their Customers, but may not engage in SEF Activity for the Broker Firm Participant’s Proprietary Account.
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Broker Firm Participant means a Person that (i) is a Participant (but not a General Participant), (ii) is registered as a Futures Commission Merchant or Introducing Broker or in another appropriate capacity, or is exempt from such registration, and (iii) enters Orders or executes Swaps on a Platform or subject to the Rules on an agency basis on behalf of
Sample 1Sample 2
Broker Firm Participant means a Person that (i) is a Participant (but not a General Participant),
Sample 1Sample 2

Examples of Broker Firm Participant in a sentence

  • A request for a response on an interest for a Required Transaction may be made by a Participant, or a Customer authorized by a Participant, or a Broker Firm Participant who is registered with the Tradition SEF and is authorized by a Participant or Customer to act on their behalf.

  • An Order for a Permitted or Required Transaction, other than an Order described in (1) above, may be submitted by a Participant or Customer or a Broker Firm Participant that is authorized by such Participant or Customer to act on their behalf.

  • When used herein, the term Participant refers only to a Participant who has been granted Trading Privileges on the StreamGlobal Platform by Tradition SEF, and the terms Customer, Broker Firm Participant, Authorized Trader and Authorized Broker refer only to such Persons who have been granted access to the StreamGlobal Platform.

  • An Order may be submitted to the StreamGlobal Platform by a Participant, a Customer authorized by a Participant, or a Broker Firm Participant that is authorized by a Participant or Customer to act on their behalf.

  • Participants may enter bids/offers for Required Transactions into the Order Books: (i) directly via a trading Platform GUI,(ii) directly via API, where available or (iii) through a Broker Firm Participant or directly through IM, telephone or other acceptable form of communication with a SEF Execution Specialist.

  • This exchange of counterparty identity may occur within a Broker Firm Participant, or between two or more consenting counterparties prior to introduction of the Transaction to the SEF for execution.

  • Each Broker Firm Participant shall designate one or more Authorized Brokers or Authorized Agents to act on behalf of its Customers.

  • Similarly, each Broker Firm Participant shall designate one or more Authorized Brokers or Authorized Agents to act on behalf of its Customers.

  • An Order may be submitted by electronic means directly to the StreamGlobal Platform Order Book by a Participant, a Customer authorized by a Participant, or by a Broker Firm Participant authorized to act on behalf of a Customer or Participant.

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Related to Broker Firm Participant

  • Program participant means an individual certified by the secretary as a program participant under Iowa Code section 9E.3.

  • FTR Participant means any Market Participant that provides or is required to provide Collateral in order to participate in PJM’s FTR auctions.

  • Major Participant means each Equity Member and each member of the Proposer’s organization: (a) with primary responsibility for design; (b) with primary responsibility for construction; or (c) with a proposed subcontract with a value greater than or equal to 5% of the contract price or $20 million, whichever is greater.

  • Covered Participant means a Participant who is a “covered employee” as defined in Section 162(m)(3) of the Code, and the regulations promulgated thereunder, and any individual the Committee determines should be treated as such a covered employee.

  • Qualified Participant means an individual who is a participant of Tier 2 and who meets 1 of the following requirements:

  • Reporting Participant means a Participant who is subject to the reporting requirements of Section 16 of the Exchange Act.

  • Requesting Participant means a Participant initiating an RFQ.

  • Study Participant means a person recruited to participate in the Study.

  • Eligible Employee means full-time and part-time employees in the bargaining unit who have completed four hundred and fifty (450) hours of service and who are not prohibited from contributing to the Plan by legislation or the Plan rules because of their age or because they are in receipt of a pension from the Plan.

  • Eligible Executive means any employee of the Company or an Affiliate of the Company who (i) is designated by the Committee as an “Eligible Executive” who is eligible to participate in the Plan; (ii) has executed and returned a Participation Agreement to the Company; (iii) is not covered under any other severance plan, policy, program or arrangement sponsored or maintained by the Company or any of its Affiliates; and (iv) is not a party to an employment or severance agreement with the Company or any of its Affiliates pursuant to which such employee is eligible for severance payments or benefits. The Committee shall have the sole discretion to determine whether an employee is an Eligible Executive. Eligible Executives shall be limited to a select group of management or highly compensated employees within the meaning of Sections 201, 301 and 401 of ERISA.

  • First Tier Participant refers to the participant who has entered into a covered transaction with a grantee or subgrantee of Federal funds (such as the prime or general contractor). “Lower Tier Participant” refers any participant who has entered into a covered transaction with a First Tier Participant or other Lower Tier Participants (such as subcontractors and suppliers).

  • L/C Participant shall have the meaning provided in Section 3.3(a).

  • Designated Participant means such employees or officers of the Company or a related entity of the Company as the Board may designate from time to time as eligible to participate in the Plan;

  • Covered Executive means any “executive officer” of the Company as defined under Rule 10D-1.

  • Participant has the meaning specified in Section 10.06(d).

  • CDS Participant means a participant in CDS that holds security entitlements in Units on behalf of beneficial owners of those Units;

  • Current Participant means a person who participated in the Plan during the Class Period and had an Active Account on May 11, 2018.

  • Participating employee means an employee whose election to participate in a Plan has been approved by the employer.

  • Clearing Participant means a person admitted as a participant under the Clearing Rules.

  • Employee Participant means an Employee who holds an outstanding Award under the terms of the Plan.

  • Non-Key Employee means any Employee who is not a Key Employee.

  • Voting Participant has the meaning specified in Section 10.06(d).

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

  • Section 162(m) Participant means any key Employee designated by the Administrator as a key Employee whose compensation for the fiscal year in which the key Employee is so designated or a future fiscal year may be subject to the limit on deductible compensation imposed by Section 162(m) of the Code.

  • Key participant means a sole proprietor, a partner in partnership, or a person with executive managerial control in a corporation. A person with executive managerial control includes persons such as a chief executive officer, chief operating officer and chief financial officer. This definition does not include non-executive managers such as farm, field, or shift managers.

  • Other Participant means a cooperative project participant other than the United States.