Executing Dealer definition

Executing Dealer means any dealer who executes transactions entered by another dealer; such dealer need not be registered under Section 517.12, F.S., unless such dealer confirms said transactions directly to Florida resident accounts, and/or maintains responsibility for such accounts as either introducing dealer or carrying dealer.
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Executing Dealer means a Counterparty who is authorized by a designated Prime Broker to enter into Trades on or pursuant to the rules of GTX with a Prime Broker Client (or its Authorized Representative), acting as agent for a designated Prime Broker.
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Examples of Executing Dealer in a sentence

  • Upon placing an Order with an Executing Dealer (which may or may not be MTC), the Executing Dealer incurs obligations as principal, even though the Contract may have been entered on the Client’s instructions.

  • Any amendments to a Give-Up Notice with an Executing Dealer, copies of which shall be provided to Customer by Morgan Stanley, may serve to terminate Advisor on behalf of Customex'x xxixxxx xx execute Give-Up Transactions with such Executing Dealer or reduce the volume of Give-Up Transactions permissible under such Give-Up Notice to zero.

  • The Committee undertakes to oversee Executing Dealer Members' fulfillment of their best execution and fair pricing obligations on behalf of TDWCI client orders.

  • Xxxxax Xxxxxey may at any time and in its sole discretion amend the Xxxx-Ux Xxxxxe governing the limits and other parameters with which Advisor on behalf of Customer may execute Give-Up Transactions with any Executing Dealer by notifying Customer and Advisor as soon as reasonably practicable.

  • Morgxx Xxxnxxx xxx at any time and in its sole discretion amend the Give-Up Notice governing the limits and other parameters with which Advisor on behalf of Customer may execute Give-Up Transactions with any Executing Dealer by notifying Customer and Advisor as soon as reasonably practicable.

  • Upon placing an Order with an Executing Dealer (which may or may not be SMFX), the Executing Dealer incurs obligations as principal, even though the Contract may have been entered on the Client’s instructions.

  • Morgan Sxxxxxx, xxxx xime to time and in its sole discretion, will xxxxxxixx xxx maximum permissible Net Open Position and the Net Daily Settlement Amount that may exist as of any given time with respect to the aggregate of all Customer FX Transactions with each Executing Dealer that are outstanding as of such time and will notify Advisor of such limits as soon as reasonably practicable.

  • Advisor understands that it shall be responsible for resolving discrepancies in Trade Details with respect to any Give-Up Transaction and that Morgxx Xxxxxxx’x xxxeptance of any Give-Up Transaction is conditional on the satisfactory resolution of such discrepancies between Advisor and the relevant Executing Dealer.

  • Any amendments to a Give-Up Notice with an Executing Dealer, copies of which shall be provided to Customer by Morgxx Xxxnxxx, xxy serve to terminate Advisor on behalf of Customer’s ability to execute Give-Up Transactions with such Executing Dealer or reduce the volume of Give-Up Transactions permissible under such Give-Up Notice to zero.

  • Morgxx Xxxnxxx xxx terminate its approval of any Executing Dealer at any time and in its sole discretion, provided that Morgxx Xxxnxxx xxxmptly notifies Customer and Advisor of any such determination to terminate approval.

Related to Executing Dealer

  • Exchanging Dealer means any Holder (which may include any Initial Purchaser) that is a Broker-Dealer and elects to exchange for New Securities any Securities that it acquired for its own account as a result of market-making activities or other trading activities (but not directly from the Company or any Affiliate of the Company) for New Securities.

  • Participating Dealer means any licensed broker or dealer and who has entered into a Participation Agreement in form and substance acceptable to the Manager and the Trustee.

  • managing dealer means a person that has entered into an agreement with an issuer under which the person has agreed to organize and participate in the solicitation of the exercise of the rights issued by the issuer;

  • Program Executing Agency means the entity or entities responsible for the carrying out of the Program as specified in the Loan Agreement.

  • Soliciting Dealers means those broker-dealers that are members of the Financial Industry Regulatory Authority, or that are exempt from broker-dealer registration, and that, in either case, enter into participating broker or other agreements with the Dealer Manager to sell Shares.

  • Executing Agency means any public authority, any public or private corporation as well as any organization recognized by the Parties and mandated to implement a specific Project financed under this Agreement;

  • Restricted Broker-Dealer Any Broker-Dealer which holds Broker-Dealer Transfer Restricted Securities.

  • Participating Broker-Dealer shall have the meaning set forth in Section 3(t) hereof.

  • Initial Purchaser As defined in the preamble hereto.

  • Participating Broker-Dealers shall have the meaning set forth in Section 4(a) hereof.

  • Affiliated Redeeming Unitholder means an affiliated person or a promoter of or a principal underwriter for the Trust, or an affiliated person of such a person, promoter or principal underwriter. The terms "affiliated person," "promoter" and "principal underwriter" as used in the preceding sentence shall have the meanings assigned to each such term in the Investment Company Act of 1940, as amended.

  • Broker-Dealer Subsidiary means any Subsidiary that is registered as a broker-dealer under the Exchange Act or any other applicable law requiring similar registration.

  • Broker-Dealer Any broker or dealer registered under the Exchange Act.

  • Selected Dealer shall have the same meaning in this Agreement as in the Distribution Agreement. As principal, we offer to sell shares to you, as a Selected Dealer, upon the following terms and conditions:

  • Contributing Party has the meaning assigned to such term in Section 5.02.

  • Relevant Dealer means, in respect of any Variable Rate Note, the Dealer party to the Programme Agreement referred to in the Agency Agreement with whom the Issuer has concluded or is negotiating an agreement for the issue of such Variable Rate Note pursuant to the Programme Agreement;

  • Dealer Manager means Realty Capital Securities, LLC, or such other Person selected by the Board of Directors to act as the dealer manager for the Offering.

  • executing State means the Member State to which a European protection order has been forwarded with a view to its recognition.

  • Grain dealer means a person engaged in the business of receiving, buying, exchanging, selling, or storing farm produce in this state. The term includes a farm produce trucker, grain merchandiser, or processor. The term does not include a person solely engaged in 1 of the following:

  • Renminbi Dealer means an independent foreign exchange dealer of international repute active in the Renminbi exchange market in Hong Kong reasonably selected by the Issuer.

  • inter-dealer bond broker means a person or company that is approved by the Investment Industry Regulatory Organization of Canada under its Rule No. 36 Inter-Dealer Bond Brokerage Systems, as amended, and is subject to its Rule No. 36 and its Rule 2100 Inter-Dealer Bond Brokerage Systems, as amended from time to time;

  • Underwriter’s Exemption Prohibited Transaction Exemption 2002-41, 67 Fed. Reg. 54487 (2002), as amended (or any successor thereto), or any substantially similar administrative exemption granted by the U.S. Department of Labor.

  • Eligible Dealer means any corporation or other entity having as a principal business acting as a broker or dealer in securities.

  • Contributing Partner means each Partner contributing (or deemed to have contributed on termination and reconstitution of the Partnership pursuant to Section 708 of the Code or otherwise) a Contributed Property.

  • Contributing Parties has the meaning assigned to such term in the preamble.

  • Regular Dealer means a firm that meets the definition set forth in Section VII(c).