Investment Broker definition

Investment Broker or “IB” shall mean Interactive Brokers. By saying Interactive Brokers we refer to Interactive Brokers LLC, a Company incorporated under the laws of SEC and FINRA; as well as all the related entities with the aforementioned entity (as these stated in Interactive Brokers official website available at: xxxxx://xxx.xxxxxxxxxxxxxxxxxx.xx.xx/en/home.php#) and which are incorporated and licensed in different jurisdictions. Interactive Brokers has the necessary authorisation and license for providing their investment services in different jurisdictions among them to the countries of the EEA in accordance with their license.
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Investment Broker means any individual or organization employed to provide advisory services, including advice on investment objectives and/or asset allocation, manager search, and performance monitoring.
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Investment Broker has the meaning set forth in Section 3.31.
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Examples of Investment Broker in a sentence

  • Inc.- Compliance Approval Required Prior to External Dissemination- Revised 08/06/2019 PERSONAL TRADING STANDARDS SUMMARY REQUIREMENTS Employee Classifications Supervised Covered Persons Access Investment Broker/ Dealer Designated Persons Persons Persons Persons Associated Only Persons Employees may have multiple classifications.

  • Inc.- Compliance Approval Required Prior to External Dissemination- revised 04/27/2022 PERSONAL TRADING STANDARDS SUMMARY REQUIREMENTS Employee Classifications Supervised Covered Persons Access Investment Broker/ Dealer Designated Persons Persons Persons Persons Associated Only Persons Employees may have multiple classifications.

  • Inc.-For Internal Use Only Rv. 08/29/2018 PERSONAL TRADING STANDARDS SUMMARY REQUIREMENTS Employee Classifications Supervised Covered Access Investment Broker/ Dealer Designated Persons Persons Persons Persons Persons Associated Only Persons Employees may have multiple classifications.

  • Inc.- Compliance Approval Required Prior to External Dissemination – revised 04/27/2022 EXHIBIT B PERSONAL TRADING STANDARDS SUMMARY REQUIREMENTS Employee Classifications Supervised Covered Persons Access Investment Broker/ Dealer Designated Persons Persons Persons Persons Associated Only Persons Employees may have multiple classifications.

  • The modifier will be determined by the Finance Manager/Treasurer and based on the United States 5-Year Agency Bond Rates published by the District’s Investment Broker on April 1.

  • The Seller agrees to pay the Seller's Fee and to indemnify and hold harmless the Purchaser from any claim or demand for commission or other compensation by any Investment Broker claiming to have been employed by or on behalf of the Company, any of its Subsidiaries or the Seller in connection with the transactions contemplated hereby, and to bear the cost of legal expenses incurred in defending against any such claim.

  • She has over 20 year’s experience in financial service firms including introducing, dual registrants, Chaperoning, FinTech, Investment Broker Dealers and Registered Investment Advisors.

  • The Purchaser agrees to pay the Purchaser's Fee and to indemnify and hold harmless the Seller from any claim or demand for commission or other compensation by any Investment Broker claiming to have been employed by or on behalf of the Purchaser in connection with the transactions contemplated hereby, and to bear the cost of legal expenses incurred in defending against any such claim.

  • Except for XXXX Capital, LLC, no broker, finder or investment banker (an "Investment Broker") acting on behalf of the Seller, the Company or any of its Subsidiaries is or will be entitled to any brokerage, finder's or other fee, compensation or commission from the Seller, the Company or any of its Subsidiaries in connection with the transactions contemplated by this Agreement (the "Seller's Fee").

  • Inc.- Compliance Approval Required Prior to External Dissemination – revised 01/10/2022 EXHIBIT B PERSONAL TRADING STANDARDS SUMMARY REQUIREMENTS Employee Classifications Supervised Covered Persons Access Investment Broker/ Dealer Designated Persons Persons Persons Persons Associated Only Persons Employees may have multiple classifications.


More Definitions of Investment Broker

Investment Broker or “IB” shall mean Interactive Brokers. By saying Interactive Brokers we refer to Interactive Brokers LLC, a Company incorporated under the laws of SEC and FINRA; as well as all the related entities with the aforementioned entity Interactive Brokers IE and Interactive Brokers Central Europe Zrt. (as these stated in Interactive Brokers official website available at: xxxxx://xxx.xxxxxxxxxxxxxxxxxx.xx.xx/en/home.php#) and which are incorporated and licensed in different jurisdictions. Interactive Brokers has the necessary authorisation and license for providing their investment services in different jurisdictions among them to the countries of the EEA in accordance with their license.
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Investment Broker or “IB” shall mean Interactive Brokers Central Europe, a private company limited by shares that is duly organised and existing under the laws of Hungary, with company registration number 00-00-000000 and with a principal place of business located at Xxxxxx Xxxx xx 00-00, 0000, Xxxxxxx, Xxxxxxxx. IBCE is regulated by the Central Bank of Hungary (Magyar Nemzeti Bank) (“MNB”). IBCE is included in the MNB’s register of regulated financial service providers under number H-EN-III-623/2020. The MNB’s address is Xxxxxxxxx xxx 0, 0000, Xxxxxxx, Xxxxxxxx.
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Investment Broker or “IB” shall mean Interactive Brokers Ireland company incorporated and registered under the laws of the State of Connecticut with offices located at 00 Xxxxxxxxx Xxxxxxx, Xxxxxx, X00 X000, Ireland.
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Investment Broker or “IB” shall mean Interactive Brokers LLC a company incorporated and registered under the laws of the State of Connecticut with offices located at Xxx Xxxxxxxx Xxxxx, Xxxxxxxxx, Xxxxxxxxxxx, 00000 XXX.
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Related to Investment Broker

  • Investment Advisor means, in relation to a Portfolio, the investment manager or investment advisor of the Portfolio.

  • Principal broker means a broker who is either a real estate proprietor, a partner in a real estate partnership, or an officer in a real estate corporation.

  • Investment Adviser or "Adviser" means a party furnishing services to the Trust pursuant to any contract described in Article IV, Section 7(a) hereof;

  • Designated Broker means the financial services firm or other agent designated by the Company to maintain ESPP Share Accounts on behalf of Participants who have purchased shares of Common Stock under the Plan.

  • Investment Management Fee means each of the Senior Investment Management Fee, the Subordinated Investment Management Fee and the Incentive Investment Management Fee.

  • 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.

  • Investment adviser representative means an individual employed by or associated with an investment adviser or federal covered investment adviser and who makes any recommendations or otherwise gives investment advice regarding securities, manages accounts or portfolios of clients, determines which recommendation or advice regarding securities should be given, provides investment advice or holds herself or himself out as providing investment advice, receives compensation to solicit, offer, or negotiate for the sale of or for selling investment advice, or supervises employees who perform any of the foregoing. The term does not include an individual who:

  • Approved Broker means any of the companies listed on Schedule 7 or such other company proposed by the Borrowers which the Agent may, with the consent of the Majority Lenders (such consent not to be unreasonably withheld), approve from time to time for the purpose of valuing a Ship, who shall act as an expert and not as arbitrator and whose valuation shall be conclusive and binding on all parties to this Agreement;

  • investment dealer means a person or company registered in the category of investment dealer;

  • Data Broker means either of the following:

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

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

  • Investment is any beneficial ownership interest in any Person (including stock, partnership interest or other securities), and any loan, advance or capital contribution to any Person.

  • Asset Management Fee shall have the meaning set forth in Section 8.03.

  • Investment Manager or “Manager” shall mean a party furnishing services to the Trust pursuant to any contract described in Section 4.8 hereof;