Prime Broker Transaction definition

Prime Broker Transaction means a transaction in an uncleared Swap where one counterparty is a Prime Broker and the other counterparty is a Participant whom the Prime Broker has authorized to act as such in connection with such transaction.
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Prime Broker Transaction means a Permitted Cross Transaction in an Uncleared Swap executed on the SEF pursuant to Rule 4105 where one counterparty is a Prime Broker and the other is a Person (which may also be a Prime Broker) with which the Prime Broker has swap trading relationship documentation in place in accordance with the requirements of Rule 4013.B.
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Prime Broker Transaction means a transaction in a Non-Cleared Swap where one counterparty is a Prime Broker and the other counterparty is a Participant or another Prime Broker whom the Prime Broker has Non-Cleared Swaps Agreement and (b) where the Prime Broker has no knowledge of such transaction until after the transaction’s execution.
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Examples of Prime Broker Transaction in a sentence

  • If the foregoing conductions are satisfied, the Company will cancel the Prime Broker Transaction.

  • The Prime Broker shall communicate such request directly to the Company within 48 hours after the execution of the relevant Prime Broker Transaction and indicate the reason for the cancellation.

  • Notwithstanding anything to the contrary in this Rule 526, a Prime Broker may request the cancellation of any Prime Broker Transaction (i) that is executed in excess of the limit established by the Prime Broker with respect to the Prime Broker Transaction, (ii) because the Prime Broker Transaction was executed by a Person that was not authorized by the Prime Broker, or (iii) because the Prime Broker Transaction was executed for an unauthorized product.

  • By providing a Prime Broker Acknowledgement Letter to the SEF, each Prime Broker is deemed to authorize the SEF to send Confirmations of Prime Broker Transactions to the applicable Prime Broker Client and, in the case of a Prime Broker Transaction transacted through an Introducing Broker, to the applicable Introducing Broker, subject to Rule 4105(b).

  • With respect to a Prime Broker Transaction between two Prime Brokers, the Reporting Counterparty is as (1) and (2) above.

  • With respect to a Prime Broker Transaction between a Prime Broker and an executing dealer, the Reporting Counterparty is the executing dealer.

  • Nothing in this Rule 5103.E shall restrict the rights of a Prime Broker Client to request a review of a Prime Broker Transaction pursuant to the other provisions of Rule 5103.

  • A Prime Broker shall have the right to cancel a Prime Broker Transaction in accordance with the provisions of Rule 5103.E within two (2) hours of the time that the SEF provides the Prime Broker with a Confirmation of such Transaction in accordance with Rule 4012.

  • If any Prime Broker Transaction is cancelled by the SEF pursuant to the provisions of this Rule 5103.E., the Prime Broker, the Prime Broker Client and the counterparty shall be liable for payments in respect of such cancellation in accordance with the terms of their agreements or as they may otherwise agree.

  • Rule 5103.E. Cancellation of Prime Brokerage Transactions Subject to Rule 4105(b)(4), a Prime Broker shall have the right to cancel any Prime Broker Transaction within two (2) hours of the time that the SEF provides the Prime Broker with a Confirmation of such Transaction in accordance with Rule 4012 (i) that is executed in breach of a Prime Broker Limit; (ii) that was executed by a Person that was not authorized by the Prime Broker; or (iii) that was executed for an unauthorized product.

Related to Prime Broker Transaction

  • Master Transaction Agreement has the meaning set forth in the recitals.

  • Dealer Manager Agreement shall have the meaning set forth in the preamble.

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

  • Termination Transaction has the meaning set forth in Section 11.2.B hereof.

  • Transaction Agreement has the meaning set forth in the recitals.

  • Exchange Transaction means an exchange of Units for Common Units pursuant to, and in accordance with, the Exchange Agreement or, if the Issuer and the exchanging Limited Partner shall mutually agree, a Transfer of Units to the Issuer, the Partnership or any of their subsidiaries for other consideration.

  • Online Transaction means any Phone/Electronic Transaction requested through an Electronic Transmission over the Internet.

  • Permitted Securitization Transaction Any financing transaction undertaken by the Seller or an Affiliate of the Seller that is secured, directly or indirectly, by the Collateral or any portion thereof or any interest therein, including any sale, lease, whole loan sale, asset securitization, secured loan or other transfer.

  • repurchase transaction means a transaction governed by an agreement by which a counterparty transfers securities or guaranteed rights relating to title to securities where that guarantee is issued by a recognised exchange which holds the rights to the securities and the agreement does not allow a counterparty to transfer or pledge a particular security to more than one counterparty at a time, subject to a commitment to repurchase them, or substituted securities of the same description at a specified price on a future date specified, or to be specified, by the transferor, being a repurchase agreement for the counterparty selling the securities and a reverse repurchase agreement for the counterparty buying them;

  • M&A Transaction means (a) a transaction in which all or substantially all of the assets to which the subject matter of this Agreement relates are acquired by or assigned to party that is not an Affiliate, or (b) a sale of all or substantially all of the share capital of BioLine (or its Affiliates), (c) the merger of BioLine (or its Affiliates) with any other entity, or any other similar corporate action, except an internal reorganization of BioLine (or its Affiliates) for tax-related reasons otherwise.

  • Consumer transaction means a transaction in which (i) an individual incurs an obligation primarily for personal, family, or household purposes, (ii) a security interest secures the obligation, and (iii) the collateral is held or acquired primarily for personal, family, or household purposes. The term includes consumer-goods transactions.

  • Company Acquisition Transaction means any transaction or series of transactions involving:

  • Company Acquisition Agreement has the meaning set forth in Section 5.04(a).

  • Merger Transactions means the Merger and the other transactions relating thereto or contemplated by the Merger Agreement.

  • Seller Transaction Expenses means all unpaid fees, costs, charges, expenses, obligations, payments and awards that are incurred by the Sellers or their Affiliates in connection with, relating to or arising out of the preparation, negotiation, execution, delivery and performance of this Agreement and the Transaction Documents and the consummation of the transactions contemplated hereby and thereby, including all Taxes.

  • Broker-Dealer Agreement means this Agreement and any substantially similar agreement between the Auction Agent and a Broker-Dealer.

  • Transaction Agreements means the Securities Purchase Agreement, the Debentures, the Joint Escrow Instructions, the Security Agreement, the Registration Rights Agreement, and the Warrants and includes all ancillary documents referred to in those agreements.

  • Formation Transactions means the transactions contemplated by this Agreement and the other Formation Transaction Documentation.

  • Contactless Transaction means a Transaction that is authorised by you touching or holding your Card or linked device against or near a POS Terminal without the need to insert your Card.

  • IDR Transfer Agreement means an agreement to transfer, subject to the terms of Tariff, Part VI, section 237, Incremental Deliverability Rights to a party for the purpose of eliminating or reducing the need for Local or Network Upgrades that would otherwise have been the responsibility of the party receiving such rights. Immediate-need Reliability Project: “Immediate-need Reliability Project” shall have the same meaning provided in the Operating Agreement.

  • Merger Transaction means any merger, acquisition or similar transaction involving a recapitalization as contemplated by Rule 10b-18(a)(13)(iv) under the Exchange Act.

  • SPAC Transaction means a transaction or series of related transactions by merger, consolidation, share exchange or otherwise of the Company with a publicly traded “special purpose acquisition company” or its subsidiary (collectively, a “SPAC”), immediately following the consummation of which the common stock or share capital of the SPAC or its successor entity is listed on the Nasdaq Stock Market, the New York Stock Exchange or another exchange or marketplace approved by the Board of Directors, including a majority of the Preferred Directors.

  • Transaction means the transactions contemplated by this Agreement.

  • Placement Agency Agreement means that certain Placement Agency Agreement by and between the Company and the Placement Agent, dated as of the date hereof.

  • Acquisition Transactions means the transactions contemplated by the Acquisition Agreement.

  • Public-finance transaction means a secured transaction in connection with which: