Dealer Member means a Member that is registered as an investment dealer or a mutual fund dealer in accordance with securities legislation.
Dealer Member means a Member of the New SRO that is registered as an investment dealer or a mutual fund dealer in accordance with securities legislation.
Dealer Member means a Member that is an investment dealer in accordance with securities legislation.
Examples of Dealer Member in a sentence
Dealer Member Rule 16.2 [Dealer Member Filing Requirements]; and2.
Where the collateral is either held by the Dealer Member on a fully segregated basis or held in escrow on its behalf by an Acceptable Depository or a bank or trust company qualifying as either an acceptable institution or acceptable counterparty, only the amount of market value deficiency need be provided out of the Dealer Member’s capital.
Dealer Member Rule 1300.1(a)-(n) [Identity and Creditworthiness];2.
Dealer Member Rule 400.5 [Provisos with respect to Dealer Member Rules 400.2, 400.3 and 400.4]section 12.6 [global bonding or insurance]1.
Dealer Member Rule 400.3B [Termination or Cancellation]section 12.10 [annual financial statements]1.
More Definitions of Dealer Member
Dealer Member means a Designated Global Dealer Voting Member, Adhered Global Dealer Voting Member, Global Dealer Voting Member, Designated Global Dealer Consultative Member, Adhered Global Dealer Consultative Member, Global Dealer Consultative Member, Designated Regional Dealer Voting Member, Adhered Regional Dealer Voting Member, Regional Dealer Voting Member, Designated Regional Dealer Consultative Member, Adhered Regional Dealer Consultative Member or Regional Dealer Consultative Member, as applicable.
Dealer Member means a Dealer Member as defined in section1.1 of Corporation General By-law No. 1 that is not an “alternative trading system” as defined in National Instrument 21-101.(2) Each Dealer Member shall be responsible for and shall guarantee the obligations to clients incurred by each of its Affiliated Dealer Members, and each Affiliated Dealer Member shall be responsible for and shall guarantee the obligations of the Dealer Member to its clients on the following basis:
Dealer Member means [•], together with its successors and permitted assigns.
Dealer Member means a Dealer Member as defined in section
Dealer Member means a Dealer Member as defined in section 1.1 of Corporation General By-law No. 1 that is not an “alternative trading system” as defined in National Instrument 21-101.
Dealer Member means a Member that is an investment dealer in accordance with securities legislation. “Director” means a member of the Board.
Dealer Member means a dealer member of NMEDA who is registered as a business and conducts business in Canada.