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”).

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

  • 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.

  • 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.

  • However, as the programme was extended to the States bordering Myanmar, China, Bhutan and Nepal in the Ninth Plan only and the data for these variables was not available in the first two - three years of the plan, the allocations for the newly included States were made approximately on the basis of the length of international border for which information was available from the Ministry of Home Affairs.

  • 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.

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

  • The Corporate Broker has been approved by OTC Markets Group to serve as an OTCQX Sponsor, continues to satisfy the standards for serving as an OTCQX Sponsor as provided in the “Application to Serve as an OTCQX Sponsor” and the OTCQX Rules for U.S. Banks, and is competent and able to serve and to exercise independent judgment as the Company’s OTCQX Sponsor without reservation.

  • This is an extract of our Equity Daily report published today, incorporating our comments on those companies for which Intesa Sanpaolo is Sponsor, Specialist or Corporate Broker.

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

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)

  • 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 each of Arrow Valuations Ltd, Xxxxx Xxxxxxxx Salles, X. Xxxxxxxx & Co. Ltd., Maersk Brokers K/S and Xxxx Xxxxxxxx & Co Ltd London and, in the plural, means all of them;

  • 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 any financial institution or advisor or legal or natural person obtaining remuneration from the Company and/or Clients for introducing Clients/interested parties to the Company.

  • Salesman means an individual, other than a dealer, employed, appointed or authorized by a dealer to sell securities in this state. The partners or executive officers of a registered dealer shall not be deemed salesmen within the meaning of this definition.

  • 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.

  • 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 Xxxxxx Xxxxxxx of Xxxxxxx and Wakefiled.

  • 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.