Broker Firms definition

Broker Firms means the other broker firms who agreed with the Solo Group to carry out the Solo Trading;
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Examples of Broker Firms in a sentence

  • Clearing Firms, Participants, Participant Firms, and Broker Firms involved in the execution of block trades must maintain a record of the transaction in accordance with Rules 401.

  • All communications made to Broker Firms shall also be deemed to have been made to all Authorized Brokers.

  • Participants, Customers or Broker Firms may view in the Order Book all orders per term, and Trad-X Product Transactions including information as to the contract size at point of execution.

  • Any Notice to Participants shall also be deemed to have been made to all Authorized Traders, Broker Firms, and Supervised Persons.

  • Clearing Firms, Participants, Participant Firms, and Broker Firms involved in the execution of block trades must maintain a record of the transaction in accordance with Rule 401.

  • Participants, Customers or Broker Firms may view in the Order Book all orders per term, and Trad- X Product Transactions including information as to the contract size at point of execution.

  • Any trade executed on the ATS may be cancelled by the CSE upon a request being made by a Broker Firm involved in the trade with the prior approval of the CSE and mutual agreement of both Broker Firms involved in the trade on behalf of the buyer and the seller within the permitted time period.

  • The Order Book contains all Orders entered in the Trad-X Platform by Participants, Customers, SEF Execution Professionals or Broker Firms acting on behalf of Participants or Customers.

  • Orders can be cancelled by the respective Broker Firms at any point prior to execution.

  • In particular, from May 2009 to January 2011, at least one Rabobank Trader made at least 12 documented Broker Requests to at least four Brokers at two Broker Firms; and from July 2008 to September 2008, at least one Rabobank Submitter took into account at least 14 documented requests from at least one Broker at one Broker Firm to move Rabobank’s LIBOR submissions.

Related to Broker Firms

  • 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 Agreement means this Agreement and any substantially similar agreement between the Auction Agent and a Broker-Dealer.

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

  • Broker Fee shall have the meaning ascribed to such term in Section 2(b)(v).

  • Expert Advisor means a mechanical online trading system designed to automate trading activities on an electronic trading platform such as the Company’s Trading Platform. It can be programmed to alert the Client of a trading opportunity and can also trade his Trading Account automatically managing all aspects of trading operations from sending orders directly to the Trading Platform to automatically adjusting stop loss, Trailing Stops and take profit levels.

  • Participating Broker-Dealer has the meaning set forth in the Registration Rights Agreement.

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

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

  • Selling Firms has the meaning specified in section 5.1;

  • Broker means any person engaged in the business of effecting transactions in securities for the account of others.

  • Professional Investor means an investor who possesses the experience, knowledge and expertise to make its own investment decisions and properly assess the risks that it incurs. Professional investors include, among others, entities which are required to be authorised or regulated to operate in the financial markets, large undertakings, and other institutional investors whose main activity is to invest in financial instruments;

  • Independent Financial Advisor means an accounting, appraisal, investment banking firm or consultant to Persons engaged in Similar Businesses of nationally recognized standing that is, in the good faith judgment of the Issuer, qualified to perform the task for which it has been engaged.

  • Independent Financial Adviser means an independent financial institution of international repute appointed by the Company at its own expense.

  • Specified Person means a person who has:

  • Selling Holder Indemnified Persons has the meaning specified therefor in Section 2.09(a) of this Agreement.

  • Soliciting Dealers means those broker-dealers that are members of the Financial Industry Regulatory Authority, or that are exempt from broker-dealer registration, and that, in either case, enter into participating broker or other agreements with the Dealer Manager to sell Shares.

  • Specified Persons means the Directors, connected persons, the insiders, the Designated Employees and the promoters and immediate relatives are collectively referred to as Specified Persons.

  • Advisory Firm Letter means a letter, that has been prepared by the Advisory Firm used by the Corporation in connection with the performance of its obligations under this Agreement, which states that the relevant Schedules, notices or other information to be provided by the Corporation to the Members, along with all supporting schedules and work papers, were prepared in a manner that is consistent with the terms of this Agreement and, to the extent not expressly provided in this Agreement, on a reasonable basis in light of the facts and law in existence on the date such Schedules, notices or other information were delivered by the Corporation to the Members.

  • Advisory Firm means an accounting firm that is nationally recognized as being expert in Covered Tax matters, selected by the Corporation.

  • Selling Commission means three percent (3%) of the gross proceeds of Shares sold pursuant to this Agreement, or as otherwise agreed between the Company and the Agent with respect to any Shares sold pursuant to this Agreement.

  • Specified Personnel means the personnel specified in the Contract to provide the Services.

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

  • Qualified personnel means personnel who meet the statutory or regulatory qualifications for each respective profession currently applicable in this state.

  • Participating Dealer means any licensed broker or dealer and who has entered into a Participation Agreement in form and substance acceptable to the Manager and the Trustee.

  • 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.

  • Selling Holder means a Holder who is selling Registrable Securities pursuant to a Registration Statement.