Introducing Brokers definition

Introducing Brokers means each of the entities listed on Annex A, or individually, an “Introducing Broker”.
Sample 1
Introducing Brokers means third party intermediaries as set out in Section 20 below. “MTF” means the Multilateral Trading Facility.
Sample 1
Introducing Brokers shall no longer include QTS. This amendment shall in no way affect any rights Pxxxxx, XXX, or any affiliate of either of them may have under the Guaranty Agreement as of the date hereof, or any rights any of them may have that arise from or relate to any activity that occurred prior to the date hereof that would otherwise be covered by the Guaranty but for the referenced amendment. Guarantor hereby affirms its continuing guaranty of each of its obligations set forth in the Guaranty Agreement.
Sample 1

Examples of Introducing Brokers in a sentence

  • The Introducing Broker shall provide the Clearing Broker with copies of the Introducing Broker's annual audited financial statements as well as copies of all financial information and reports filed by the Introducing Broker with the NASD, the SEC, and any other National Securities Exchange (where a member) (including but not otherwise limited to monthly and quarterly Financial and Operational Combined Uniform Single Reports, i.e., "FOCUS" Reports) simultaneously with the filing therewith.

  • The Clearing Broker will remit to the Introducing Broker 88% of the Introducing Broker's weekly gross commission revenue based on trade date sent on the second business day of the following week.

  • The Company has Proprietary Accounts of Introducing Brokers (“PAIB”) agreements with these firms.

  • Introducing Broker may withdraw such consent at any time by hard copy letter delivered via Federal Express or other overnight courier to Interactive Introducing Brokers, Director of Compliance, Xxx Xxxxxxxx Xxxxx, Xxxxxxxxx, XX 00000.

  • Refer to individual clearing agreements for Introducing Brokers and New Customers.

  • Introducing Broker's authority to sign such checks is limited to the amount of $50,000.00 per check.

  • Guarantor acknowledges and represents that Guarantor has relied upon Guarantor’s own due diligence in making an independent appraisal of SSLLC, Tools, the Introducing Brokers and/or Schon-EX and their respective businesses and affairs and financial condition; Guarantor will not continue to be responsible for making an independent appraisal of such matters; and Guarantor has not relied upon the Companies for any information regarding SSLLC, Tools, the Introducing Brokers and/or Schon-EX or any other person.

  • Except as set forth on Schedule 4.29, the Company is an Affiliate of each of the Introducing Brokers.

  • If a Fund has adopted a plan pursuant to Rule 12b-1 (a “Plan”) under the Investment Company Act of 1940, as amended (the “1940 Act”), Distributor may make distribution or shareholder service payments to JPMCC (for JPMCC’s benefit or for the benefit of Introducing Brokers) under such Plan.

  • Introducing Broker agrees to indemnify, defend and hold Cowen and its partners, officers, directors, employees, agents, and contractors harmless from and against any and all losses, damages, claims, demands, liabilities, obligations, costs and expenses of any nature (including reasonable attorneys' fees and expenses) arising out of or based upon this Agreement or Introducing Broker's (or any of its agents', or affiliates') use of the Service.

Related to Introducing Brokers

  • Introducing Broker means any financial institution or advisor or legal or natural person obtaining remuneration from the Company and/or Clients for introducing Clients/interested parties to the Company.

  • Introducer shall have the meaning as set put in paragraph 39.1 of this Client Agreement.

  • Brokers and Finders' Fees............................................ 13 2.14

  • Data Broker means either of the following:

  • Seller’s Broker means Xxxxxx Xxxxxxx of Xxxxxxx and Wakefiled.

  • Associate broker means a licensed broker who is employed by

  • Approved Brokers means such firm of insurance brokers, appointed by the Charterer during the Charter Period, as may from time to time be approved in writing by the Mortgagee for the purposes of this Deed;

  • Sponsoring Broker means a Participant other than a DMA Customer that allows its designated Customers to access the SEF Platform using the Participant ID of the Participant and (i) with respect to Cleared Swaps, is a Clearing Member; and (ii) with respect to Non-Cleared Swaps, is (x) an FCM or Introducing Broker; or (y) non-U.S. Person acting in a similar capacity that is not required to register as an FCM or Introducing Broker under the Act and that is appropriately licensed in a jurisdiction where its DMA Customer is located.

  • REAL ESTATE BROKERS (See also Paragraph 15)

  • Funding and Brokerage Fees means, in respect of a Series, all applicable fees other than the Arranger Fees, including, but not limited to, margin interest, securities lending fees, brokerage fees and costs of transaction taxes on the sale or purchase of Reference Assets (where relevant).

  • Participating Broker- Dealer: See Section 2(b) hereof. Person: An individual, trustee, corporation, partnership, limited liability company, joint stock company, trust, unincorporated association, union, business association, firm or other legal entity. Private Exchange: See Section 2(b) hereof.

  • Prime Broker means a Person that acts as credit counterparty for transactions executed on the SEF in the name and on behalf of such Person by its client or an agent of its client that is a BSEF Participant and that has authorized a Participant to send RFQs, place Orders or enter into Trades in the name and on behalf of such Person.

  • Introduction Fee means the fee payable by the Client to the Agency for an Introduction resulting in an Engagement;

  • Approved Broker means each of Arrow Valuations Ltd, Xxxxx Xxxxxxxx Salles, X. Xxxxxxxx & Co. Ltd., Maersk Brokers K/S and Xxxx Xxxxxxxx & Co Ltd London and, in the plural, means all of them;

  • Real estate broker means an individual or business entity that, with intent to collect or receive a fee, compensation, or valuable consideration, sells or offers for sale, buys or offers to buy, provides or offers to provide market analyses of, lists or offers or attempts to list, or negotiates the purchase, sale, or exchange of real estate; that negotiates the mortgage of real estate; that negotiates for the construction of a building on real estate; that leases or offers or rents or offers for rent real estate or the improvements on the real estate for others, as a whole or partial vocation; that engages in property management as a whole or partial vocation; that sells or offers for sale, buys or offers to buy, leases or offers to lease, or negotiates the purchase or sale or exchange of a business, business opportunity, or the goodwill of an existing business for others; or that, as owner or otherwise, engages in the sale of real estate as a principal vocation.

  • Loan broker means any person who, for compensation or gain, or in the expectation

  • Merchant means a company, firm or other organisation accepting either all Cards as a means of payment for goods and/or services or at least one type of Card for business to business transactions.

  • Customs Broker Agreement means an agreement, in form reasonably satisfactory to the Collateral Agent, in which the customs broker or other carrier acknowledges that it has control over and holds the documents evidencing ownership of the subject Inventory for the benefit of the Collateral Agent and agrees, upon notice from the Collateral Agent, to hold and dispose of such Inventory solely as directed by the Collateral Agent.

  • Mortgage broker means any person who for compensation or

  • Landlord’s Broker means the individual or corporate broker identified on the Basic Lease Information sheet as the broker for Landlord.

  • Tenant’s Broker means the individual or corporate broker identified on the Basic Lease Information sheet as the broker for Tenant.

  • Customs Broker means that individual, partnership, entity or corporation licensed by the Canada Border Services Agency, or other authorized body, to engage in the business of a customs broker and who is named as the Customs Broker in the Agency Agreement and Power of Attorney.

  • Authorized Broker means those Brokers which are authorized to deal in Government Securities.

  • Real estate brokerage activity means any activity that involves offering or providing real estate brokerage services to the public, including:

  • Salesman means an individual, other than a dealer, employed, appointed or authorized by a dealer to sell securities in this state. The partners or executive officers of a registered dealer shall not be deemed salesmen within the meaning of this definition.

  • Broker means any person engaged in the business of effecting transactions in securities for the account of others.