Brokerage Firms definition

Brokerage Firms means any domestic firm engaged in the business of effecting transactions in securities for the account of others and (1) as of December 31, 2009, reported on its audited balance sheet in
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Brokerage Firms means IFG Network Securities, Inc., Intrust Financial Services, Investment Tax Strategies, Professional Planning, Xxxxx Financial Service, Capital Strategies, Ltd., Sentra Securities, GBS Financial, Strategic Assets, Inc., and Xxxxx Xxxxx & Co. Brokerage Firms does not mean or include Xxxxxx Capital Resources, Inc. or Xxxxxx X. Xxxxxxx.
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Brokerage Firms means any of the following companies and any of their parents, subsidiaries, affiliates, predecessors, successors, officers, directors, employees, agents, partners, and independent contractors, as well as aliases, code names, trade names, or business names used by, or formerly used by, any of the foregoing:
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Examples of Brokerage Firms in a sentence

  • The Policy requires that all personal securities accounts be maintained at an "Approved Brokerage Firm." The Compliance Department has established procedures that have allowed the designation of the majority of Broker/Dealers as "Approved Brokerage Firms," the main requirement being the Carrying Broker/Dealer's ability to deliver confirmations of transactions electronically to the DBS Compliance Control Group ("Control Group").

  • Licensee shall work as an independent contractor and agent of Brokerage Firm and will, prior to actively engaging in any real estate activities, sign Brokerage Firm's independent contractor agreement.

  • A list of Authorized Brokerage Firms, which is subject to change from time to time, is included in Appendix A.

  • The Global CCO may amend the list of Authorized Brokerage Firms from time to time.

  • Authorized Brokerage Firms – U.S. Employees and U.S. Persons Subject to the Code You are required to maintain your Covered Account(s) with an Authorized Brokerage Firm.

  • These differences havebeen minimized and any differences in wording are not intended to create any substantive difference.

  • The holders of the Shares Subject to the Offer that intend to qualify for the Auction with any of the Brokerage Firms must have an account previously open at a Brokerage Firm, in order to comply with the time period provided in item 3.1 above.

  • The financial statements have been prepared in accordance with International Financial Reporting Standards (IFRS) as adopted by the European Union and the Latvian Financial and Capital Market Commission’s Regulations on the Preparation of Annual Reports and Consolidated Annual Reports of Banks, Investment Brokerage Firms and Investment Management Companies.

  • Shareholders that hold Target Shares already held in custody at the central securities depositary of the BM&FBOVESPA shall qualify with one of the Brokerage Firms of their choice by 6:00 p.m. of the business day immediately preceding the Auction Date.

  • Such event will be informed by the Intermediary Institutions to the Brokerage Firms that represent such shareholders and to B3 before the Auction.


More Definitions of Brokerage Firms

Brokerage Firms means Keen-Summit Capital Partners LLC, Savills Studley, Inc. and FTI Consulting Realty LLC, in their capacity as real estate broker for the Debtors.
Sample 1
Brokerage Firms means IFG Network Securities, Inc., Intrust Financial Services, Investment Tax Strategies, Professional Planning, Ixxxx Financial Service, Capital Strategies, Ltd., Sentra Securities, GBS Financial, Strategic Assets, Inc., and Sxxxx Mxxxx & Co. Brokerage Firms does not mean or include Mxxxxx Capital Resources, Inc. or Dxxxxx X. Xxxxxxx.
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Related to Brokerage Firms

  • Brokerage means the provision by a third party of services, for a fee, to source Sub-Contractors to provide the Services on behalf of the Provider.

  • Brokerage Fee means the fee payable to the Broker for the purchase by any Person of Interests in an Initial Offering equal to an amount agreed between the Managing Member and the Broker from time to time and specified in any Series Designation.

  • Finder means a person who, for consideration, participates in the offer to sell, sale, or purchase of securities by locating, introducing, or referring potential purchasers or sellers. Finder does not include a person whose actions are solely incidental to a transaction exempt pursuant to section 202(1)(r). The administrator may by rule or order exclude other persons from this definition.

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

  • Funding and Brokerage Fees means, in respect of a Series, all applicable fees other than the Arranger Fees, including, but not limited to, margin interest, securities lending fees, brokerage fees and costs of transaction taxes on the sale or purchase of Reference Assets (where relevant).

  • Brokerage services means those activities identified in sections 543B.3 and 543B.6.

  • Advisor or “ADVISORS” means the Person or Persons, if any, appointed, employed or contracted with by the Company pursuant to Section 8.1 hereof and responsible for directing or performing the day-to-day business affairs of the Company, including any Person to whom the Advisor subcontracts all or substantially all of such functions.

  • Brokers and Finders' Fees............................................ 13 2.14

  • Brokerage agreement means a written or oral agreement

  • Commissions means the Commissions with Jurisdiction over the Issuer (as defined on page 4) and the securities commissions incorporated in the definition of this term in other parts of the Subscription Agreement;

  • Banker s acceptance” means a time draft that is drawn on and accepted by a bank and that represents an irrevocable obligation of the bank.

  • Pawnbroker means the same as that term is defined in Section 13-32a-102.

  • 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.

  • Adviser means a party furnishing services to the Trust pursuant to any contract described in Article IV, Section 7(a) hereof;

  • Adviser/Subadviser means the Adviser or a Subadviser, if any, of the Fund or both as the context may require.

  • Designated Broker means the financial services firm or other agent designated by the Company to maintain ESPP Share Accounts on behalf of Participants who have purchased shares of Common Stock under the Plan.

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

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

  • Real estate brokerage activity means any activity that involves offering or providing real estate brokerage services to the public, including:

  • Financial Advisor has the meaning set forth in Section 3.6.

  • Financial Adviser means any:

  • Bona fide association means, with respect to health insurance coverage offered in this

  • Firm means Morgan Stanley, MSIM’s parent company.

  • Commodity Broker means any person who engages in the business of effecting transactions in Commodity Contracts for the account of others or for his or her own account.

  • Adviser/Subadviser means the Adviser or a Subadviser, if any, of the Fund or both as the context may require.

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