Member Firm definition

Member Firm or “Member” means a partnership, corporation or legal entity admitted to Exchange membership and whose membership has not been terminated. For the purpose of the compliance procedures, a Member Firm shall include a former Member Firm where appropriate;

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Member Firm means a Principal Firm, an Affiliate Industry Firm, an Agent Firm or a Related Company.

Member Firm means a firm engaged in public practice where more than 50% of the rights to vote on all, or substantially all, matters of substance regarding the firm are held by members. This includes:

Examples of Member Firm in a sentence

• Hilltop Securities Inc., a Member Firm of the New York Stock Exchange, is a full-service brokerage firm providing customers with execution services on all major exchanges and access to all major markets.

• Regulated by the Financial Services Authority for the conduct of designated investment business in the UK, and a Member Firm of the London Stock Exchange.

• The eligibility criteria for Member Firm Data Charges are contained within Schedule A of this Agreement.

• HTS, a Member Firm of the NYSE, is a full-service brokerage firm providing customers with execution services on all major exchanges and access to all major markets.

• Name of FINRA Member Firm By: Date: I understand that material misstatements or the omission of material facts in the Registration Statement may give rise to civil and criminal liabilities to the Company, to each officer and director of the Company signing the Registration Statement and other persons signing the Registration Statement.

More Definitions of Member Firm

Member Firm means a member or participant of any of the Participating SROs that is a registered dealer in Canada.

Member Firm means a partnership which carries on a business of dealing in securities and is recognised as a dealing member by a stock exchange;

Member Firm means a member as that term is defined in Section 3(a)(3) of the Exchange Act.

Member Firm means a Firm which is a Member;

Member Firm means a Principal Firm, an Association Member Firm, an

Member Firm means a partnership, corporation or legal entity admitted to Exchange membership and whose membership has not been terminated.

Member Firm means the company, body corporate, partnership, undertaking, entity or juristic person that is a member of DTTL, and includes such member’s Associates, divisions, departments, predecessors, successors, assignees, and Personnel;