Participating Brokers definition

Participating Brokers mean those broker-dealers engaged by the Managing Dealer to participate in the Offering pursuant to Paragraph 3.2.
Sample 1Sample 2Sample 3
Participating Brokers shall have the meaning assigned to such term in the definition of "Openclose Business."
Sample 1Sample 2
Participating Brokers means those broker-dealers that are members of the National Association of Securities Dealers, Inc., and that enter into participating broker agreements with the Dealer Manager to sell Units. The Dealer Manager will be considered a Participating Broker to the extent it sells Units directly to investors.
Sample 1Sample 2

Examples of Participating Brokers in a sentence

  • In addition, Participating Brokers that have a contractual arrangement with their clients for the payment of fees on terms that are inconsistent with the acceptance of all or a portion of the commissions and the marketing support fee may elect not to accept all or a portion of their compensation in the form of commissions and the marketing support fees offered by the Company for Shares that they sell.

  • The Managing Dealer may authorize certain Participating Brokers which are "$250,000 broker-dealers" to instruct their customers to make their checks for Shares subscribed for payable directly to the Participating Broker.

  • Nothing herein contained shall render the Managing Dealer or the Company liable for the obligations of any of the Participating Brokers or one another.

  • The Company or its affiliates may provide incentive items for registered representatives of the Managing Dealer and the Participating Brokers, which in no event shall exceed an aggregate of $100 per annum per participating registered representative.

  • In the event other incentives are provided to registered representatives of the Managing Dealer or the Participating Brokers, they will only be paid in cash and such payments will only be made to the Managing Dealer or the Participating Brokers rather than their registered representatives.

  • The Company or its Affiliates also may provide incentive items for registered representatives of the Managing Dealer and the Participating Brokers, which in no event shall exceed an aggregate of $100 per annum per participating salesperson.

  • The Managing Dealer may reallow all or any portion of such selling commissions to Participating Brokers as it sees fit.

  • The Managing Dealer is authorized to reallow so much of the commissions which it receives under Paragraph 4.1 to Participating Brokers as it sees fit.

  • In the event other incentives are provided to registered representatives of the Managing Dealer or the Participating Brokers, they will be paid only in cash, and such payments will be made only to the Managing Dealer or the Participating Brokers rather than to their registered representatives.

  • Nothing in this Agreement shall be construed or interpreted to constitute the Managing Dealer or the Participating Brokers as being in association with or in partnership with the Company or one another, and instead, this Agreement only shall constitute the Managing Dealer as a broker authorized by the Company to sell and to manage the sale by others of the Shares according to the terms set forth in the Registration Statement, the Prospectus or this Agreement.


More Definitions of Participating Brokers

Participating Brokers. Landlord: Xxxx Xxxxxxx and Company (Xxxxxx X. Xxxxxx and Xxxx XxXxxxxxxx) Tenant: CB Xxxxxxx Xxxxx, Inc. (Xxxxxxx X. Xxxxxx, Xxxxx Xxxxxxx, Xxxx Xxxxx)
Sample 1
Participating Brokers. John Xxxxxxx & Xompany representing Landlord and CB Commercial Real Estate Group Representing Tenant.
Sample 1
Participating Brokers. Landlord: Cxxxx Xxxxxxxxxxx of Jxxxx Lxxx LaSalle Tenant: Bxx Xxxxxxx of Madison Partners
Sample 1
Participating Brokers means those broker-dealers that are members of the NASD, or that are exempt from broker-dealer registration, and that, in either case, enter into participating broker or other agreements with the Managing Dealer or the Company to sell Equity Shares.
Sample 1

Related to Participating Brokers

  • 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.

  • Participating Broker-Dealers shall have the meaning set forth in Section 4(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.

  • Participating Broker-Dealer shall have the meaning set forth in Section 3(t) hereof.

  • 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.

  • Associate broker means a licensed broker who is employed by

  • Designated Broker Agreement means an agreement between the Manager, on behalf of the ETFs, and a Designated Broker;

  • Participating Dentist means any Dentist who, at the time of rendering a Covered Dental Service to the Member, has a written agreement with CareFirst BlueChoice or the Dental Plan for the rendering of such service.

  • Introducing Broker means a third party who introduces prospective Clients to the Company.

  • Participating Party means an enterprise or public body that has committed itself to reaching certain objectives under a voluntary agreement, or is covered by a national regulatory policy instrument;

  • 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.

  • Participating Merchant means a Merchant that offers the Online Payment Service as an online payment option on the Merchant’s website.

  • 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;

  • Participating Bank means any participating banks of the JETCO ATM network, (if applicable) PLUS ATM network and/or (if applicable) China UnionPay ATM network;

  • 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;

  • Participating Banks means such investment banks that engage in any Debt Exchange with one or more members of the Parent Group.

  • Participating Provider means an Administrator Hospital or Professional Provider which has a written agreement with the Claim Administrator or another Blue Cross and/or Blue Shield Plan to provide services to participants in the Participating Provider Option program or an Administrator facility which has been designated by the Claim Administrator as a Participating Provider.

  • Participating Pharmacy means a pharmacy that has entered into a prescription drug plan agreement with the Pharmacy Benefit Manager listed on your identification card.

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

  • Participating county means a county that has been authorized by the county governing body to enter into a contract with another local unit pursuant to section 4.

  • Seller’s Broker means CB Xxxxxxx Xxxxx.

  • Data Broker means either of the following:

  • Non-Participating Provider means an Administrator Hospital or Professional Provider which does not have a written agreement with the Claim Administrator or another Blue Cross and/or Blue Shield Plan to provide services to participants in the Participating Provider Option program or a facility which has not been designated by the Claim Administrator as a Participating Provider.

  • Participating Dealer means any licensed broker or dealer and who has entered into a Participation Agreement in form and substance acceptable to the Manager and the Trustee.

  • 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.

  • Participating School District As used in Exhibit G and other Exhibits to the DPA, the term Participating School District shall mean a New York State educational agency, as that term is defined in Education Law Section 2-d, that obtains access to the Services through a CoSer agreement with LEA, and shall include LEA if it uses the Services in its own educational or operational programs.