Corporate Broker definition

Corporate Broker means the FINRA Member Broker-Dealer selected by the Company and approved by OTC Markets Group to serve as the OTCQX Sponsor for a U.S. bank.
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Corporate Broker means Nplus1 Singer Advisory LLP (N+1 Singer) and J.P. Morgan Securities plc (JPM);
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Corporate Broker means Nplus1 Singer Advisory LLP (N+1 Singer);
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Examples of Corporate Broker in a sentence

  • If you are considering selling your shares or trading in the secondary market, please contact the Company’s Corporate Broker, Panmure Gordon (UK) Limited (“Panmure”).

  • To be eligible to serve as an OTCQX Sponsor, a Corporate Broker must be a FINRA member broker-dealer and must meet the eligibility requirements set forth in Part B of the “Application to Serve as an OTCQX Sponsor,” as applicable.

  • Date Type Name of Broker Signature of Broker or of Designated Officer of Corporate Broker Type Name of Person(s) Signing This Notice NOTE: AN AMENDED NOTICE MUST BE FILED BY THE BROKER WITHIN 30 DAYS OF ANY MATERIAL CHANGE IN THE INFORMATION REQUIRED TO BE SET FORTH HEREIN.

  • The Company retains the services of a corporate communications firm who actively engage with press, investors and analysts, as well as a Corporate Broker, to ensure shareholders understand the Company’s operations and activities.

  • The Corporate Broker is not currently subject to any sanctions resulting from any disciplinary actions from any federal or state securities regulator, or from any self-regulatory organization that would prohibit or restrict its ability to serve as Corporate Broker.

  • Corporate Broker is a U.S. registered broker- dealer and a member in good standing with FINRA.

  • If you are considering selling your shares or wish to buy shares in the secondary market, please contact the Company’s Corporate Broker, Panmure Gordon (UK) Limited (“Panmure”).

  • The OTCQX Sponsor is a Corporate Broker, as that term is defined in these OTCQX Rules for U.S. Banks.

  • Xxxxxx Cazenove (Financial adviser and Corporate Broker to Avast) Tel: +00 000 000 0000 Bxxx Xxxxxxxxx Jxxxx Xxxxxxxx Jxxxx Summer Jxxxx Xxxxxxx Finsbury Gxxxxx Hxxxxx (Communications adviser to Avast) Axxxx-XXX@xxx.xxx Dxxxxxx Xxxxxxx Tel: +00 0000 000 000 Nidaa Lone Tel: +00 0000 000 000 Kxxxxxxx & Exxxx LLP and Macfarlanes LLP are retained as (respectively) US and UK legal advisers to NortonLifeLock.

  • The Secretary and AIFM report on compliance matters to the Board on a quarterly basis and the Board has access to the advice of its Corporate Broker on a continuing basis.

Related to Corporate Broker

  • Associate broker means a licensed broker who is employed by

  • 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.

  • 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.

  • REAL ESTATE BROKERS (See also Paragraph 15) REPRESENTATION: The following real estate brokers (collectively, the "BROKERS") and brokerage relationships exist in this transaction (check applicable boxes): [X] XXXX Commercial Real Estate Services represents Lessor exclusively ("LESSOR'S BROKER"); [X] The Xxxxxx Co. represents Lessee exclusively ("LESSEE'S BROKER"); or [ ] _______________________________ represents both Lessor and Lessee ("DUAL AGENCY").

  • Data Broker means either of the following:

  • 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.

  • Authorized Broker means those Brokers which are authorized to deal in Government Securities.

  • insurance broker means an insurance brokerage firm,

  • Salesperson means any person holding an Iowa real estate salesperson license as defined in Iowa Code section 543B.5(19).

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

  • Mortgage broker means any person who for compensation or

  • Approved Broker means any of the companies listed on Schedule 7 or such other company proposed by the Borrowers which the Agent may, with the consent of the Majority Lenders (such consent not to be unreasonably withheld), approve from time to time for the purpose of valuing a Ship, who shall act as an expert and not as arbitrator and whose valuation shall be conclusive and binding on all parties to this Agreement;

  • 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.

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

  • Salesman or "agent" means any person licensed by the commission whose duties include the sale of a debt waiver or debt forgiveness agreement on behalf of the administrator.

  • Approved Brokers means such firm of insurance brokers, appointed by the Charterer during the Charter Period, as may from time to time be approved in writing by the Mortgagee for the purposes of this Deed;

  • 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.

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

  • Advisers means a party or parties furnishing services to the Trust pursuant to any investment advisory or investment management contract described in Article IV, Section 6(a) hereof;

  • Tradesman s Rate" shall mean the total wage prescribed for the baker in subclause (1) of this clause.

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

  • Seller’s Broker means CB Xxxxxxx Xxxxx.

  • lawyer means, in the Province of Quebec, an advocate or a notary and, in any other province, a barrister or solicitor;

  • 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.

  • Surplus lines broker means a person licensed pursuant to Article 5.1 (§ 38.2-1857.1 et seq.) of this

  • Customs Broker means that individual, partnership, entity or corporation licensed by the Canada Border Services Agency, or other authorized body, to engage in the business of a customs broker and who is named as the Customs Broker in the Agency Agreement and Power of Attorney.