FINRA CMA definition

FINRA CMA means a continuing membership application filed by the Company Broker-Dealer under FINRA Rule 1017.
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FINRA CMA has the meaning specified in Section 7.3(b).
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FINRA CMA has the meanings set forth in Section 5.4(c).
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Examples of FINRA CMA in a sentence

  • Each of Seller and Buyer shall (and shall cause its Affiliates to) provide promptly upon request to the other party all information required to complete each FINRA CMA and respond to any further FINRA requests.

  • The form of the FINRA CMA shall be subject to the approval of Seller and Buyer, which approval shall not unreasonably be withheld, conditioned or delayed.

  • If the FINRA CMA is approved for “Fast Track” treatment, each of Seller and Buyer shall, and shall cause its Affiliates to, respond promptly to the other party hereto in regard to such requests to ensure compliance with any response period required by FINRA.

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  • Prior to filing the FINRA CMA and any other materials or documents with FINRA, and prior to making a filing with any other self-regulatory organization and any state securities authority, XXXX Seller shall provide Buyer with a reasonable opportunity (not less than three (3) Business Days) to review and comment on such FINRA CMA, materials, documents or filings.

  • The Company shall cause Global Atlantic Distributors, LLC to seek FastTrack treatment for the FINRA CMA.

  • Environmental Education for Sustainable Development looks to the future, learns from the past and considers the present.

  • XXXX Seller shall use commercially reasonable efforts to obtain FINRA consent to process the FINRA CMA on a “Fast Track” basis.

  • Without the prior written consent of Buyer, neither Allstate Distributors nor any other Seller Party shall agree to any requirement to be imposed by FINRA as a condition to the approval of the FINRA CMA that (i) Allstate Distributors maintain an amount of regulatory capital in excess of the amount of regulatory capital required under Rule 15c3-1 of the Exchange Act as of the date hereof, or (ii) would otherwise result in a Material Adverse Effect.

  • Prior to filing the FINRA CMA and any other materials or documents with FINRA, and prior to making or filing with a State securities authority, Seller shall provide Buyer Parent with a reasonable opportunity (not less than three (3) Business Days) to review and comment on such FINRA CMA, materials, documents or filings.


More Definitions of FINRA CMA

FINRA CMA has the meaning set forth in Section 8.1(b).
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FINRA CMA means the continuing membership applications filed, either separately or as a combined application, pursuant to FINRA Rule 1017 seeking (i) FINRA’s approval of the change of ownership and control of the Broker-Dealer Subsidiary resulting from the transactions contemplated hereby (the “Company FINRA CMA”), and (ii) FINRA’s approval of a material change in business operations of eToro USA Securities Inc., to allow eToro USA Securities Inc. to conduct the Broker-Dealer Activities performed by the Broker-Dealer Subsidiary as of the date of this Agreement (in addition to the activities that eToro USA Securities Inc. is permitted to perform pursuant to its membership agreement with FINRA as of the date hereof).
Sample 1

Related to FINRA CMA

  • FINRA Rules means the Constitution, By-Laws, and Rules of Fair Practice of the Financial Industry Regulatory Authority, Inc. ("FINRA") and any interpretations thereof.

  • FINRA means the Financial Industry Regulatory Authority, Inc.

  • CCMA means the Commission for Conciliation, Mediation and Arbitration established in terms of section 112 of the Labour Relations Act, 1995;

  • NASD means the National Association of Securities Dealers, Inc.

  • NASD Rules means the Rules of the National Association of Securities Dealers, Inc., as amended from time to time.

  • Securities Commissions means collectively, the applicable securities commission or securities regulatory authority in each of the Qualifying Jurisdictions;

  • Morgan Stanley Broker means a broker-dealer affiliated with Morgan Stanley.

  • Securities Commission means the applicable securities commission or regulatory authority in each of the Qualifying Jurisdictions;

  • Canadian Securities Commissions means the securities regulatory authorities in each of the Qualifying Jurisdictions;

  • IIROC means the Investment Industry Regulatory Organization of Canada;

  • Diocesan Schools Commission means the education service provided by the diocese, which may also be known, or referred to, as the Diocesan Education Service.

  • Dealer Manager Fee means the fee from the sale of Shares in a Primary Offering, payable to the Dealer Manager for serving as the dealer manager of such Primary Offering.

  • CMA means the Competition and Markets Authority or any successor body;

  • Selling Commission means three percent (3.0%) of the gross proceeds of Shares sold pursuant to this Agreement, or as otherwise agreed between the Company and the Agent with respect to any Shares sold pursuant to this Agreement.

  • NYSRC means the New York State Reliability Council.

  • Public school academy means a public school academy or strict discipline academy organized under the revised school code, 1976 PA 451, MCL 380.1 to 380.1852.

  • Forward Hedge Selling Commission means, for any Forward Contract, the product of (x) the Forward Hedge Selling Commission Rate for such Forward Contract and (y) the Volume-Weighted Hedge Price.

  • securities dealer means a person or entity that is authorized under provincial legislation to engage in the business of dealing in securities or any other financial instruments or to provide portfolio management or investment advising services.

  • PMU means the Project Management Unit established in accordance with paragraph 3 of Schedule 5 to this Loan Agreement;

  • Selling Commissions means any and all commissions payable to underwriters, dealer managers or other broker-dealers in connection with the sale of Shares, including, without limitation, commissions payable to the Dealer Manager.

  • State education agency means the department.

  • NYSE American means the NYSE American LLC;

  • 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.

  • Securities Trading Act means the Securities Trading Act of 2007 no.75 of the Relevant Jurisdiction.

  • NCCPA means the National Commission on Certification of Physician Assistants.

  • Dealer Managers shall have the meaning set forth in the preamble.