Examples of FINRA Dealer in a sentence
History–New 12-5-79, Amended 9-20-82, Formerly 3E-600.03, Amended 8-1-91, 5-5-94, 7-31-02, Formerly 3E-600.003, Repealed 12-29-15.69W-600.0031 Notice-Filing of Branch Office (FINRA Dealer).
A visitor is anyone who has not undergone a name and fingerprint-based background check.
Specifically, pursuant to Section 11(d), you hereby agree to a “same day sale” commitment with a broker-dealer that is a member of the Financial Industry Regulatory Authority (a “FINRA Dealer”) whereby you hereby irrevocably agree to sell a portion of the shares to be delivered in connection with your Restricted Stock Units to satisfy the Withholding Taxes and whereby the FINRA Dealer commits to forward the proceeds necessary to satisfy the Withholding Taxes directly to the Company and/or its Affiliates.
History–New 12-29-15.69W-600.002 Application for Registration as Associated Person (FINRA Dealer).
For Financial Planners/FINRA Registered Advisers Only Affiliated FINRA Dealer Name Branch Number Branch Street Address City State Zip Code Mail this certification together with the completed application and check (made payable to “First Eagle Funds”) to the address detailed at the bottom of this form.