Brokerage services definition

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

Brokerage services means brokerage, broker-dealer transaction processing, dealer, distributorship, custodial, and related services, or any other services that involve acting as a Broker-Dealer, and performing ancillary services and activities related or incidental thereto.

Brokerage services means those services provided by a broker to a party in a transaction;

Examples of Brokerage services in a sentence

• Client further understands that Brokerage Services and Advisory Programs and Advisory Services are governed by different laws and regulations and by different terms and conditions in Client’s agreements with Xxxxx.

• The Brokerage Services that Xxxxx offers to its clients include taking a client’s trade orders, executing the client’s trade orders, providing investment advice “incidental to” the Brokerage Services, settlement, custody, and other customary brokerage services.

• Client understands and agrees that Xxxxx only provides those Brokerage Services to Client and Client’s Accounts to the extent from time to time requested by Client and agreed to by Xxxxx.

• Client understands and acknowledges that there are important differences between a Brokerage Account and an Advisory Account and that the Brokerage Services and Advisory Programs and Advisory Services have different structures, administration, types and levels of service, and fees and expenses.

• If Baird provides Brokerage Services to a client, Baird will generally provide the client with a monthly account statement when activity occurs during that month.

More Definitions of Brokerage services

Brokerage services means those services provided by a

Brokerage services means the rendering of services for which

Brokerage services means those services provided by Broker to Buyer pursuant to this Agreement.

Brokerage services means the arranging of transportation or the physical movement of property.

Brokerage services means the services to be provided by the Company to the Client as described in paragraph 4.1 of this Agreement;

Brokerage services means brokerage, broker-dealer transaction processing, dealer, distributorship, custodial, and related services, or any other services that involve acting as a broker-dealer, and performing ancillary services and activities related or incidental thereto. Each Broker-Dealer Entity has established, in compliance with the requirements of applicable Law, and maintained in effect, since January 1, 2021, written policies and procedures reasonably designed to achieve compliance with the Exchange Act, the SEC rules thereunder, and the rules of each applicable SRO (“BD Compliance Policies”), including those required by (i) applicable FINRA rules, including FINRA Rule 3110, 3120 and 3130, (ii) anti-Money Laundering Laws, including a written customer identification program in compliance therewith, (iii) privacy Laws including policies and procedures with respect to the protection of nonpublic personal information about clients of the Company or any of its Subsidiaries and other third parties and (iv) identity theft Laws, and approved such principals, managers and other supervisors as are required under the aforementioned Laws. All such BD Compliance Policies comply in all material respects with applicable Laws.

Brokerage services means the ar- rangements or negotiations conducted by a motor vehicle broker for the purpose of ob- taining a motor vehicle for a buyer or lessee from a seller or lessor through a method that does not include: