Capital Brokerage definition

Capital Brokerage is a Broker-Dealer registered as such under the Securities Exchange Act of 1934 (the "1934 Act") and a member of the National Association of Securities Dealers, Inc. ("NASD"). GE Life & Annuity and GE Capital Life have appointed Capital Brokerage as principal underwriter for the Policies and Annuities.
Sample 1Sample 2Sample 3
Capital Brokerage is a Broker-Dealer registered as such under the Securities Exchange Act of 1934 (the "1934 Act") and a member of the National Association of Securities Dealers, Inc. ("NASD"). Life of Virginia has appointed Capital Brokerage as principal underwriter for the Policies and Annuities.
Sample 1Sample 2
Capital Brokerage is a Broker-Dealer registered as such under the Securities Exchange Act of 1934 (the "1934 Act") and a member of the National Association of Securities Dealers, Inc. ("NASD"). Genworth Life & Annuity and Genworth Life of New York have appointed Capital Brokerage as principal underwriter for the Policies and Annuities. Broker-Dealer is registered as a Broker-Dealer under the 1934 Act, is a member of the NASD and is properly licensed and appointed to promote, offer and sell the Policies and Annuities.
Sample 1Sample 2

Examples of Capital Brokerage in a sentence

  • Forbearance by Capital Brokerage to enforce any of the terms of this Agreement shall not constitute a waiver of such terms.

  • Nothing contained in this Agreement shall create, or shall be construed to create, the relationship of employer and employee between Capital Brokerage and Broker-Dealer or Broker-Dealer's directors, officers, employees, agents or Registered Representatives.

  • All personal accounts held by Access Persons and their spouse, partner and children living at the same address are should be held at World Capital Brokerage, Inc.

  • Capital Brokerage wishes to ensure that the Policies and Annuities solicited by Broker-Dealer through Registered Representatives will be issued to persons for whom they will be suitable.

  • Access Persons and their spouse, partner and children living at the same address that hold accounts outside of World Capital Brokerage, Inc.

  • Capital Brokerage Corporation (“CBC”) acts as the underwriter/distributor of mutual fund shares within the Trusts.

  • Dealer is hereby authorized by Capital Brokerage to solicit applications for the purchase of Policies and Annuities through its Registered Representatives in states where the Broker-Dealer and its Registered Representatives are appropriately licensed and appointed.

  • This Agreement may not be assigned or transferred to any third party by either Capital Brokerage or Broker-Dealer without the other party's prior written consent.

  • GE Life & Annuity, GE Capital Life or Capital Brokerage will notify in a timely manner the Broker-Dealer of any complaint.

  • Unless terminated as provided in Section 6.2(s) or (c) below, Capital Brokerage will continue to provide contract information to the Broker-Dealer and/or its insurance affiliate on all contracts issued under this agreement unless a change of dealer has been requested by the owner.

Related to Capital Brokerage

  • 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.

  • Morgan Stanley Broker means a broker-dealer affiliated with Morgan Stanley.

  • Principal broker means a broker who is either a real estate proprietor, a partner in a real estate partnership, or an officer in a real estate corporation.

  • Seller’s Broker means Xxxxxxx & Xxxxxxxxx.

  • 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.

  • Prime Broker means a Person that acts as credit counterparty for transactions executed on the SEF in the name and on behalf of such Person by its client or an agent of its client that is a BSEF Participant and that has authorized a Participant to send RFQs, place Orders or enter into Trades in the name and on behalf of such Person.

  • 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.

  • Real estate broker means an individual or business entity that, with intent to collect or receive a fee, compensation, or valuable consideration, sells or offers for sale, buys or offers to buy, provides or offers to provide market analyses of, lists or offers or attempts to list, or negotiates the purchase, sale, or exchange of real estate; that negotiates the mortgage of real estate; that negotiates for the construction of a building on real estate; that leases or offers or rents or offers for rent real estate or the improvements on the real estate for others, as a whole or partial vocation; that engages in property management as a whole or partial vocation; that sells or offers for sale, buys or offers to buy, leases or offers to lease, or negotiates the purchase or sale or exchange of a business, business opportunity, or the goodwill of an existing business for others; or that, as owner or otherwise, engages in the sale of real estate as a principal vocation.

  • REAL ESTATE BROKERS (See also Paragraph 15)

  • Introducing Broker means a third party who introduces prospective Clients to the Company.

  • 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.

  • Goldman means Xxxxxxx, Sachs & Co.

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

  • 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;

  • Financial Advisors has the meaning set forth in Section 4.26.

  • Participating Broker- Dealer: See Section 2(b) hereof. Person: An individual, trustee, corporation, partnership, limited liability company, joint stock company, trust, unincorporated association, union, business association, firm or other legal entity. Private Exchange: See Section 2(b) hereof.

  • Financial Adviser means any:

  • Investment Advisory Services means (a) advice with respect to the desirability of investing in, purchasing or selling securities or other property, including the power to determine what securities or other property shall be purchased or sold, but not including furnishing only statistical and other factual information (such as economic factors and trends); and (b) the provision of financial, economic or investment management services, but only if ancillary and related to the advice referred to in clause (a) above.

  • Asset Management Fee shall have the meaning set forth in Section 8.02.

  • 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.