Principal Dealer definition

Principal Dealer means any Dealer that is acting as (i) an underwriter (as defined in the Act) for a particular issuance of Securities pursuant to an underwriting or similar agreement with the Issuer, (ii) a member of a primary selling group of the Issuer pursuant to any selling group or similar distribution agreement with the Issuer, (iii) an agent for the Issuer pursuant to any selling agency agreement with the Issuer or (iv) a Dealer engaged in a swap with the Issuer of Securities in exchange for Mortgage- Related Securities pursuant to an agreement. If the Issuer has specified that only one Dealer should contact the Issuer regarding the number of copies of Offering Documentation required for a particular issue of Securities, then for purposes of paragraph 1 above “Principal Dealer” means only such Dealer.
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Principal Dealer means only such Dealer.
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Examples of Principal Dealer in a sentence

  • As a Principal Dealer you receive 25% discount on software! We'll show you how to establish a dealership providing sales, training and support in addition to billing services) ($399 annual – waived if annual support is renewed).

  • The Issuer and certain dealers named herein entered into a Dealer Agreement dated 31st March, 1998 (the "Principal Dealer Agreement") in respect of a £1,500,000,000 Euro-commercial paper programme of the Issuer.

  • Nothing herein shall be construed to prevent (i) a Issuer/Guarantor from delivering an electronic version of the Offering Documentation to such Principal Dealer (in lieu of delivering a specific number of printed copies), or (ii) a Issuer/Guarantor and a Principal Dealer from agreeing to any other arrangements with respect to the responsibility for duplication of Offering Documentation.

  • The Issuer has entered into an amended and restated dealer agreement dated 11th October, 2002 (as amended or supplemented from time to time, the "Dealer Agreement"), under which it may, from time to time, issue Euro-commercial paper, which amends and restates the dealer agreement entered into by the Issuer dated 31st March, 1998 (the "Principal Dealer Agreement").

  • If a Party intends to sell Securities purchased from a Principal Dealer outside of the U.S., that Party agrees that it will comply with the selling restrictions, if any, established by the related Issuer/Guarantor and referenced in the relevant Issuer/Guarantor Agreement.

  • If either Party, acting as a Principal Dealer, sells Securities of ▇▇▇▇▇▇▇ ▇▇▇ or ▇▇▇▇▇▇ ▇▇▇ to the other Party, the other Party agrees to comply with the Guidelines in connection with those Securities, except that wherever the word “should” is used in the Guidelines, the word “shall” will be substituted thereafter.

  • As promptly as practicable, and in any case before settlement, each Principal Dealer for Securities being issued or guaranteed by an Issuer/Guarantor should request that the Issuer/Guarantor or its agent deliver to the Principal Dealer (and, if the Issuer/Guarantor agrees to distribute the Offering Documentation to other Dealers, to such Dealers) a specific number of printed copies of the Offering Documentation.

  • Each Principal Dealer should deliver to the Dealers to whom the Principal Dealer sells Securities during the applicable Distribution Period the specific number of printed copies of the Offering Documentation if requested pursuant to this paragraph, unless the Issuer/Guarantor agrees to deliver directly such copies to such Dealers.

  • If either Party, acting as a Principal Dealer, sells Securities of an Issuer/Guarantor as described above to the other Party, the other Party agrees to comply with the Guidelines and/or Issuer/Guarantor Agreement, as applicable, in connection with those Securities, except that wherever the word “should” is used in 1 SIFMA’s current Guidelines (including all amendments thereto, as applicable) may be obtained at ▇▇▇.▇▇▇▇▇.▇▇▇.

  • Each Issuer/Guarantor or its agent should post its Offering Documentation and any documents incorporated by reference in such Offering Documentation on a specified publicly accessible Internet Website and deliver to the requesting Principal Dealer (and, if the Issuer/Guarantor agrees to distribute the Offering Documentation to other Dealers, to such Dealers) the number of copies of the Offering Documentation requested pursuant to this paragraph.