Contact Person at Broker Dealer definition

Contact Person at Broker Dealer. Address:___________________________________________ Name:______________________________________ ___________________________________________ Phone:_____________________________________ ___________________________________________ Fax:_______________________________________ Tax ID #:__________________________________________ E-mail:____________________________________
Contact Person at Broker Dealer. Address:__________________________________________ Name:_____________________________________ _____________________________________________ Phone:____________________________________ _____________________________________________ Fax:______________________________________ Tax ID #:_________________________________________ E-mail:___________________________________ __________________________________________________ (Print name of Agency above) Contact Person at Agency: Address:__________________________________________ Name:_____________________________________ _____________________________________________ Phone:____________________________________ _____________________________________________ Fax:______________________________________ Tax ID #:_________________________________________ E-mail:___________________________________ ------------------------------------------------------------------------------------------------------------------------- Contact person for client policy and licensing matters Mail address for client policy and licensing matters: (if different from above): ________________________________________ ________________________________________ Name:______________________________________ ________________________________________ Phone:_____________________________________ ________________________________________ Fax:_______________________________________ Main office? Y or N (if yes, please list address here) E-mail:____________________________________ Branch? Y or N (if yes, enclose list of branch addresses) ------------------------------------------------------------------------------------------------------------------------- ------------------------------------------------------------------------------------------------------------------------- Contact person for commissions matters Mail address for commission statements and checks: (if different from above): ________________________________________ ________________________________________ Name:______________________________________ ________________________________________ Phone:_____________________________________ ________________________________________ Fax:_______________________________________ Main office? Y or N (if yes, please list address here) E-mail:____________________________________ Branch? Y or N (if yes, enclose list of branch addresses) -------------------------------------------------------------------------------------------------------------------------

Related to Contact Person at Broker Dealer

  • Contact Person means the Contractor's management level personnel who will work as liaison between the City and the Contractor and be available to respond to any problems that may arise in connection with Contractor's performance under the Contract.

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

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

  • Participating Broker-Dealer shall have the meaning set forth in Section 3(t) hereof.

  • 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.

  • Contact Persons means persons identified by the Parties as persons who are responsible for the execution of the Agreement and whose names are set out in clause 35 below and who can be substituted in writing from time to time;

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

  • Broker-Dealer Agreement means each agreement between the Auction Agent and a Broker-Dealer substantially in the form attached hereto as Exhibit A.

  • body in which the relevant person has a beneficial interest means a firm in which the relevant person is a partner or a body corporate of which the relevant person is a director, or in the securities of which the relevant person has a beneficial interest;

  • 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.

  • Subject Person has the meaning assigned to such term in the definition of “Consolidated Net Income”.

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

  • inter-dealer bond broker means a person or company that is approved by the Investment Industry Regulatory Organization of Canada under its Rule No. 36 Inter-Dealer Bond Brokerage Systems, as amended, and is subject to its Rule No. 36 and its Rule 2100 Inter-Dealer Bond Brokerage Systems, as amended from time to time;

  • 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.

  • Defendant/Person Under Supervision means any pretrial releasee, probationer, parolee, mandatory releasee, mandatory parolee, or supervised releasee receiving drug/alcohol testing and/or substance use assessment/treatment, mental health assessment/evaluation/treatment, and or sex offense specific evaluation/treatment/testing while under the supervision of the Federal Probation or Pretrial Services Office. Hereinafter, the term defendant applies to those on pretrial supervision, whereas person under supervision applies to those on post- conviction supervision.

  • Relevant Dealer means, in respect of any Variable Rate Note, the Dealer party to the Programme Agreement referred to in the Agency Agreement with whom the Issuer has concluded or is negotiating an agreement for the issue of such Variable Rate Note pursuant to the Programme Agreement;

  • Data Broker means either of the following:

  • Associate broker means a licensed broker who is employed by

  • Code of Ethics Contact Person means the Chief Compliance Officer or such person or persons as may be from time to time designated.

  • Requesting Person shall have the meaning set forth in Section 25 hereof.

  • Renminbi Dealer means an independent foreign exchange dealer of international repute active in the Renminbi exchange market in Hong Kong reasonably selected by the Issuer.

  • Designated Broker Agreement means an agreement between the Manager, on behalf of the ETFs, and a Designated Broker;

  • young person means a person who falls within the definition of qualifying young person in section 142 of the SSCBA.

  • Affiliated Association means an Association accorded the status of an Affiliated Association under the rules of The FA.

  • Deaf person or "person who is deaf" means any person whose hearing is so severely impaired that the person is unable to hear and understand conversational speech through the unaided ear alone, and who must depend primarily on an assistive listening device or visual communication such as writing, lip reading, sign language, and gestures.

  • managing dealer means a person that has entered into an agreement with an issuer under which the person has agreed to organize and participate in the solicitation of the exercise of the rights issued by the issuer;