Broker Securities definition

Broker Securities means, collectively, the Broker Warrants and the Broker Warrant Shares;
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Broker Securities has the meaning ascribed therein in Section 9 hereof;
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Broker Securities means collectively the Broker Shares and the Broker Warrants; “CDS” means CDS Clearing and Depository Services Inc.;
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Examples of Broker Securities in a sentence

  • In connection with the issuance of the Broker Securities, as the case may be, each of the Agents represents and warrants that (i) it is not a U.S. Person and it is not acquiring the Broker Securities in the United States, or on behalf of a U.S. Person or a person located in the United States, (ii) this Agreement was executed and delivered outside the United States and (iii) it is acquiring the Broker Securities, as principal for its own account and not for the benefit of any other person.

  • The Agents agree that they will not engage in any Directed Selling Efforts (as defined in Schedule “A”) with respect to any Broker Securities.

  • The Stock Broker, Securities Dealer and Market Maker who are in operation at the time of commencement of the Act shall require to maintain the capital, ownership structure and shareholders pursuant to these Regulations within one year of the commencement of these Regulations and shall require to report the same to the Board.

  • Broker Securities for which the nominee has not received voting instructions from the record holder and does not have discretionary authority to vote the shares on certain proposals (which are considered “Broker Non-Votes” with respect to such proposals) will be treated as shares present for quorum purposes.If a quorum is not present at the Special Meeting, the stockholders who are represented may adjourn the Special Meeting until a quorum is present.

  • The Stock Broker, Securities Dealer and Market Maker shall be required to abide by the Directives issued by the Board regarding business ethics and codes of conduct.

  • Pursuant to the Agency Agreement, the Company has agreed to prepare and file a prospectus and all other necessary documents in order to qualify the securities issuable upon conversion of the Offered Securities (the “Underlying Securities”) to subscribers resident in Canada, or otherwise subject to the Canadian securities laws, upon exercise of the Broker Securities.

  • No order ceasing or suspending trading in the Common Shares or other securities of the Corporation or prohibiting the issuance or sale of the Offered Securities or the issuance of the Broker Securities has been issued by any regulatory authority which is continuing in effect, and to the knowledge of the Corporation, no proceedings for such purpose has been threatened or are pending.

  • After identifying the number pursuant to part (a), shall have to select the qualified Stock Broker, Securities Dealer and Market Maker on the basis of practicality as far as possible.

  • The post-mining land use for the Questa Tailing Facilities is wildlife habitat.

  • Pursuant to the Agency Agreement, the Company agreed to prepare and file a prospectus and all other necessary documents in order to qualify the securities issuable upon conversion of the Offered Securities (the “Underlying Securities”) to subscribers resident in Canada, or otherwise subject to the Canadian securities laws, upon exercise of the Broker Securities.


More Definitions of Broker Securities

Broker Securities has the meaning ascribed to such term in Section 14 of the Representations and Warranties of the Agent;
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Broker Securities means the Broker Warrants, the Compensation Units, the Compensation Unit Shares, the Compensation Unit Warrants, and the Compensation Unit Warrant Shares;
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Broker Securities has the meaning ascribed to such term in Section 14 of the Representations and Warranties of the Agent;
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Broker Securities means the Broker Warrants, the Compensation Units, the Compensation Unit Shares, the Compensation Unit Warrants, and the Compensation Unit Warrant Shares;
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Related to Broker Securities

  • Exempt Securities has the meaning set forth in Section 4.4(d).

  • Securities has the meaning stated in the first recital of this Indenture and more particularly means any Securities authenticated and delivered under this Indenture.

  • BofA Securities means BofA Securities, Inc.

  • Other Registrable Securities means (i) any Common Equity held (directly or indirectly) by any Other Holders or any of their Affiliates, and (ii) any equity securities of the Company or any Subsidiary issued or issuable with respect to the securities referred to in clause (i) above by way of dividend, distribution, split or combination of securities, or any recapitalization, merger, consolidation or other reorganization.

  • Listed Securities means any Shares, Share Options, stock, debentures, debenture stock or other securities for the time being issued by the Company and officially quoted by ASX;