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

  • 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.

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

  • 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.

  • 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;

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

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