Dealer Member definition

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 that is an investment 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.

Examples of Dealer Member in a sentence

• Dealer Member Rule 16.2 [Dealer Member Filing Requirements]; and2.

• This settlement is agreed upon in accordance with IIROC Dealer Member Rules 20.35 to 20.40, inclusive and Rule 15 of the Dealer Member Rules of Practice and Procedure.

• Sections 9.1 and 9.2 do not apply to an inter-dealer bond broker, if the inter-dealer bond broker complies with the requirements of IIROC Rule 2800 Code of Conduct for Corporation Dealer Member Firms Trading in Wholesale Domestic Debt Markets, as amended.

• 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.

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 section 1.1 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 related companiesAffiliated Dealer Members, and each related companyAffiliated 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 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 dealer member of NMEDA who is registered as a business and conducts business in Canada.

Dealer Member means [•], together with its successors and permitted assigns.

Dealer Member means a dealer member of the Association as set forth in Article 2 of Chapter 3 hereof.