NASD Affiliation definition

NASD Affiliation. Are you associated:(l) with an NASD member firm or (2) (please check one): ___ YES ___ NO If Yes, please describe: -------------------------------------------------------------- -------------------------------------------------------------- -------------------------------------------------------------- -------------------------------------------------------------- -------------------------------------------------------------- (1) The NASD defines a "person associated with a member" or "associated person of a member" as being every sole proprietor, general or limited partner, officer, director or branch manager of any member, or any natural person occupying a similar status or performing similar functions, or any natural person engaged in the investment banking or securities business who is directly or indirectly controlling or controlled by such member (for example, any employee), whether or not any such person is registered or exempt from registration with the NASD. Thus, "person associated with a member' or "associated person of a member' includes a sole proprietor, general or limited partner, officer, director or branch manager of an organization of any kind (whether a corporation, partnership or other business entity) which itself is either a "member" or a "person associated with a member" or "associated person of a member." In addition, an organization of any kind is a "person associated with a member" or "associated person of a member" if its sole proprietor or anyone of its general or limited partners, officers, directors or branch managers is a "member," "person associated with a member' or "associated person of a member." (2) The NASD defines a 'member' as being any individual, partnership, corporation or other legal entity that is a broker or dealer admitted to membership in the NASD. *If Subscriber is Registered Representative with an NASD member firm, have the following acknowledgment signed by the appropriate party: The undersigned NASD member firm acknowledges receipt of the notice required by Article 3, Sections 28(a) and (b) of the Rules of Fair Practice or any successor rules or regulations. 79 Name of NASD Member Firm ____________________________________ By: (Authorized Officer) _________________________________ Date: _______________________________________________________
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Examples of NASD Affiliation in a sentence

  • You agree, if you have checked the NASD Affiliation box, to report this subscription in writing to the applicable NASD member within one day of payment therefor.

  • To comply with conditions under which an exemption from the NASD's Interpretation With Respect to Free-Riding and Withholding is available, you agree, if you have checked the NASD Affiliation box, (i) not to sell, transfer or hypothecate the stock for a period of 90 days following issuance, and (ii) to report this subscription in writing to the applicable NASD member within one day of payment therefor.

  • To comply with conditions under which an exemption from the NASD's Interpretation With Respect to Free-Riding and Withholding is available, you agree, if you have checked the NASD Affiliation box, (i) not to sell, transfer or hypothecate the stock for a period of three months following issuance, and (ii) to report this subscription in writing to the applicable NASD member within one day of payment therefor.

  • Member online only.No printed Decorative Painter magazines will be mailed to you.** TRIAL MEMBERSHIP: A one-year membership for a new member or anyone who has not been a member for the past three years.

  • You agree, if you have checked the NASD Affiliation box, to report this subscription in writing to the applicable NASD member within one day of payment therefore.

  • Street Address Evening Telephone -------------------------------------------------------------------------------- City State Zip Code County of Residence -------------------------------------------------------------------------------- -------------------------------------------------------------------------------- / / (8) NASD Affiliation (This section applies to those individuals who meet the delineated criteria) Check here if you are a member of the National Association of Securities Dealers, Inc.

  • Signature Date Signature Date Office Use Only: Date Rec’d _______/_______ Check# _____________ $ _____________Check# ___________ $___________ Batch# ___________ Order # ___________ Category __________ NASD Affiliation - If you have a NASD affiliation you must report this subscription in writing to your applicable compliance officer within one day of the payment therefor.

  • NASD Affiliation - This section applies only to those subscribers who meet the delineated criteria.

  • Signature Date Signature Date NASD Affiliation - If you have a NASD affiliation you must report this subscription in writing to your applicable compliance officer within one day of the payment therefor.

  • Street Address Evening Telephone City State Zip Code County of Residence / / (8) NASD Affiliation (This section applies to those individuals who meet the delineated criteria) Check here if you are a member of the National Association of Securities Dealers, Inc.

Related to NASD Affiliation

  • Affiliation means an elector's decision to affiliate with either a political party or a political organization, as defined in subsections (24) and (25) of this section.

  • Participating Hospital means an Administrator Hospital that has an agreement with the Claim Administrator or another Blue Cross and/or Blue Shield Plan to provide Hospital services to participants in the Participating Provider Option program.

  • Covered Affiliate has the meaning assigned to the term “affiliate” in, and shall be interpreted in accordance with, 12 U.S.C. § 1841(k).

  • Affiliation period means a period which, under the terms of the health insurance coverage offered

  • NASD Rules means the Rules of the National Association of Securities Dealers, Inc., as amended from time to time.

  • NASD means the National Association of Securities Dealers, Inc.

  • Pawnbroker means the same as that term is defined in Section 13-32a-102.

  • School entity means a school district, intermediate

  • Designated Affiliate means the affiliates of the Corporation designated by the Committee for purposes of the Plan from time to time;

  • Participating Hospice Care Program Provider means a Hospice Care Program Provider that either: (i) has a written agreement with the Claim Administrator or another Blue Cross and/or Blue Shield to provide services to participants in this benefits program, or; (ii) a Hospice Care Program Provider which has been designated by a Blue Cross and/or Blue Shield Plan as a Participating Provider Option program.

  • Participating Home Infusion Therapy Provider means a Home Infusion Therapy Provider who has a written agreement with the Claim Administrator or another Blue Cross and/or Blue Shield Plan to provide services to you at the time services are rendered.

  • Related Company means any entity that is directly or indirectly controlled by, in control of or under common control with the Company.

  • Bona fide association means, with respect to health insurance coverage offered in this

  • Nonprofit entity means any entity organized and operated exclusively for charitable purposes, or operated by the Federal Government, the State, or any political subdivision of the State.

  • Disaffiliation means a Subsidiary’s or Affiliate’s ceasing to be a Subsidiary or Affiliate for any reason (including, without limitation, as a result of a public offering, or a spinoff or sale by the Company, of the stock of the Subsidiary or Affiliate) or a sale of a division of the Company and its Affiliates.

  • Related Entity as used in this Invention and Patent Rights Article means a contractor, subcontractor, grantee, or other entity having a legal relationship with NASA or Partner assigned, tasked, or contracted with to perform activities under this Agreement.

  • Tradesman s Rate" shall mean the total wage prescribed for the baker in subclause (1) of this clause.

  • Non-Participating Hospital means an Administrator Hospital that does not meet the definition of a Participating Hospital.

  • Regional integration organization means an organization constituted by sovereign States of a given region, to which its member States have transferred competence in respect of matters governed by this Convention. Such organizations shall declare, in their instruments of formal confirmation or accession, the extent of their competence with respect to matters governed by this Convention. Subsequently, they shall inform the depositary of any substantial modification in the extent of their competence.

  • CHS means Code Xxxxxxxx & Xxxxxxx IV LP, a Delaware limited partnership.

  • Non-Participating Hospice Care Program Provider means a Hospice Care Program Provider that either: (i) does not have a written agreement with the Claim Administrator or another Blue Cross and/or Blue Shield to provide services to participants in this benefits program, or; (ii) a Hospice Care Program Provider which has not been designated by a Blue Cross and/or Blue Shield Plan as a Participating Provider Option program.

  • Non-Participating Home Infusion Therapy Provider means a Home Infusion Therapy Provider who does not have a written agreement with the Claim Administrator or another Blue Cross and/or Blue Shield Plan to provide services to you at the time services are rendered.

  • Participating private hospital means a hospital that has a hospital purchaser provider agreement with Latrobe.

  • Authorized Affiliate means Customer's Affiliate(s) which (a) are subject to Data Protection Laws; (b) are permitted to use the Service pursuant to the Agreement between Customer and Webflow; and (c) have not signed their own Agreement with Webflow and are not "Customers" as defined under this DPA.

  • Screened Affiliate means any Affiliate of a Holder (i) that makes investment decisions independently from such Holder and any other Affiliate of such Holder that is not a Screened Affiliate, (ii) that has in place customary information screens between it and such Holder and any other Affiliate of such Holder that is not a Screened Affiliate and such screens prohibit the sharing of information with respect to the Company or its Subsidiaries, (iii) whose investment policies are not directed by such Holder or any other Affiliate of such Holder that is acting in concert with such Holder in connection with its investment in the Notes, and (iv) whose investment decisions are not influenced by the investment decisions of such Holder or any other Affiliate of such Holder that is acting in concert with such Holders in connection with its investment in the Notes.

  • Associated Entity means an entity that is not part of the law practice but which provides legal or administrative services to a law practice, including but not limited to: