Exchange Member Firm definition

Exchange Member Firm means a brokerage firm that holds at least one membership on a major U.S. stock exchange and is a member of a self-regulatory organization.
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Examples of Exchange Member Firm in a sentence

  • Members and nonmember customers of a Minneapolis Grain Exchange Member Firm shall deposit and maintain initial and maintenance margins according to the Member Firm's requirements.

  • You certify that you are not a professional trader or money manager and that you are not associated with or employed by a NASD or Exchange Member Firm.

  • If the Account Owner or a family member is associated with a FINRA or Exchange Member Firm (as defined by applicable law and regulation), the Account Owner agrees to notify the Account Owner’s employer prior to opening an HSBA and to obtain any required authorizations.

  • Every effort is made to resolve complaints informally if possible.

  • You should be able to trade your FSGL shares by instructing that sharebroker, who will in turn pass your instructions on to a partner firm who is a Singapore Exchange Member Firm and who will execute the trade on your behalf.

  • Date: (Please sign exactly as name appears on Warrant) Taxpayer ID No. Signature guaranteed by (National Bank or New York Stock Exchange Member Firm) EXERCISE FORM (To be executed by Holder to purchase Common Stock pursuant to the Warrant) American IronHorse Motorcycle Company, Inc.

  • They are responsible for guiding a company through compliance with AIM Rules and admission requirements.– Broker – must be a London Stock Exchange Member Firm.

  • TPAS can be contacted at:11 Belgrave Road, London SW1V 1RB Tel: 0300 1231047www.pensionsadvisoryservice.org.uk■ Pensions OmbudsmanIn cases where a complaint or dispute has not beensatisfactorily resolved through the Internal Disputes Resolution Procedure or with the help of TPAS, an application can be made to the Pensions Ombudsman within three years of the event that gave rise to the complaint or dispute.

  • If you or a family member are associated with a Financial Industry Regulatory Authority (FINRA) or Exchange Member Firm, you agree to notify your employer before opening an HSBA and obtain any required authorizations.

  • You will be able to trade your FSGL shares by instructing your Singapore Exchange Member Firm.

Related to Exchange Member Firm

  • Exchanging Member means a Member that Exchanges some or all of its Units.

  • Class B Member means a Member holding one or more Class B Ordinary Shares.

  • Initial Member has the meaning set forth in the introductory paragraph.

  • Panel Member ’ means a member of a panel;

  • Neutral Member has the meaning provided in Section 2. 1(f)(ii) of this Single Family Shared-Loss Agreement.

  • Principal Member means the person who signs the application and is responsible for the payment of premiums.

  • Initial Members means those Persons whose names are set forth in the first sentence of this Agreement. A reference to an “Initial Member” means any of the Initial Members.

  • Additional Members means those Members, if any, admitted to the Company after the Effective Date.

  • Tribal Member means an enrolled member of the Tribe.

  • Participating member means a member who is required to make mandatory contributions by the applicable retirement act to his or her health reimbursement account.

  • Additional Member has the meaning set forth in Section 12.02.

  • Original member of this retirement system means:

  • Initiating Member shall have the meaning provided in Section 15.2(a).

  • Founding Member means any individual who is either:

  • Full Member means any person who is in one of the categories of membership referred to in Rule 10.3.

  • General Member means a party, and that party’s Affiliates, that has executed this Project Charter at the General Member level, unless that General Member has withdrawn or been terminated from the Project, or has changed membership level.

  • Trading Partner means any external computer interoperating with a Licensed Component through one or more protocols, one or more networks, or one or more adapters;

  • Council Member means a member of the Council;

  • Founding Members means the collective reference to American Multi-Cinema, Inc., a Missouri corporation, Cinemark Media, Inc., a Delaware corporation, and Regal CineMedia Holdings, LLC, a Delaware limited liability company.

  • Scheme Member means an Eligible Person who is included in the Scheme as per the Scheme rules as member of that Scheme.

  • Common Unitholder means a Member who is the registered holder of Common Units.

  • Deferred member means a person who elected to receive deferred vested retirement

  • Exchanging Partner has the meaning provided in Section 8.05(a) hereof.

  • Managing Member means CEF Equipment Holding, L.L.C., a Delaware limited liability company or any successor Managing Member under the Issuer Limited Liability Company Agreement.

  • Public member means an individual who is not, and never

  • investment firm means any legal person whose regular occupation or business is the provision of one or more investment services to third parties and/or the performance of one or more investment activities on a professional basis;