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;

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

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

Examples of Member Firm in a sentence

• So, whether you are just starting out or approaching retirement, we assist you by providing you with a financial plan which gives you greater control over your financial future.Count’s relationship with CountPlusCountPlus Limited ABN 111 26 990 832 owns 85% of the shares in the Licensee and Count Member Firm Pty Ltd ACN 633 983 490 owns the remaining 15% of the shares in Count.

• This CAR may be a beneficiary under a discretionary trust in which Count Member Firm DT Pty Ltd holds the assets as trustee for that trust.

• Count Member Firm TrustYour Adviser is employed by a Corporate Authorised Representative (CAR) of Count Financial and may also be a shareholder in the entity.

• 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.

• MEMBERSHIP 1.1.2 A Member Firm must at all times be authorised under relevant United Kingdom, or appropriate overseas legislation, or in the view of the Exchange be otherwise sufficiently regulated, in respect of capital adequacy, and fitness and probity.

More Definitions of Member Firm

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 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.

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

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

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;