Registered Dealers definition

Registered Dealers means dealers or brokers that are registered under applicable securities laws of the Offering Jurisdictions to sell securities of investment funds and that are not restricted from selling the Units including, for greater certainty, dealers registered in the category of exempt market dealers;
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Registered Dealers means dealers or brokers registered under applicable securities laws in the Offering Jurisdictions to sell securities of mutual funds and that are not restricted from selling the Units, and in the Provinces of Ontario and Newfoundland and Labrador includes limited market dealers;
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Registered Dealers means dealers or brokers registered under applicable securities laws in the Offering Jurisdictions to sell securities of mutual funds;
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Examples of Registered Dealers in a sentence

  • Canadian Reporting Requirements apply to Dealers even if they are not Registered Dealers in the jurisdiction.

  • Under this scheme, Registered Dealers and others can lodge their grievances online.

  • Class “A”, “AI”, “A2, “F”, “FI”, “F2”, “U”, “UI”, “U2”, “G”, “GI”, “G2” and “O” Units are distributed by Registered Dealers in the Offering Jurisdictions.

  • The servicing commissions pay for ongoing advice and service which the investor is entitled to receive from the investor’s Registered Dealer so long as the investor’s investment remains in the Funds.Servicing commissions are calculated monthly and payable monthly or quarterly to Registered Dealers with client assets invested in the Funds.

  • The Manager may reimburse Registered Dealers for up to the total cost of the fees for educational courses, the primary purpose of which is the provision of educational information about financial planning, investing in securities, mutual fund industry matters, the Funds, the other Underlying Funds or the Manager, taken by salespersons.

  • Rescission of Ontario Securities Commission Policy 35-601 Registration of Non-Resident Salesmen, Partners or Officers of Registered Dealers 1.

  • The Manager provides the compensation programs described below to Registered Dealers placing orders, whose clients purchase Class “A”, “AI”, “A2, “F”, “FI”, “F2”, “U”, “UI”, “U2”, “G”, “GI”, “G2” and “O” Units, to assist them in their distribution efforts.Purchases Under the Sales Charge OptionSales charges are negotiable between investors and their Registered Dealers.

  • Consultation on Incorporation Options The Working Group published a consultation paper entitled Consultation on Possible Options for the Incorporation of Individual Representatives of Registered Dealers and Advisers in Canada on December 20, 2010.

  • The database of Registered Dealers (RDs) maintained in the MAHAVIKAS system gets periodically updated by the registration branch in respect of new registration, cancellation, amendment of registration certificates (RCs) etc.

  • Ontario Securities Commission Policy 35-601 Registration of Non-Resident Salesmen, Partners or Officers of Registered Dealers is rescinded on the day National Instrument 31-103 Registration Requirements and Exemptions comes into force.


More Definitions of Registered Dealers

Registered Dealers means a dealer registered under provincial securities legislation in the Province of Ontario and other jurisdictions in Canada (as defined under National Instrument 31-103 – Registration Requirements, Exemptions and Ongoing Registrant Obligations);
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Registered Dealers means dealers or brokers registered under applicable securities laws in the Offering Jurisdictions to sell securities of mutual funds and that are not restricted from selling the Units, and includes exempt market dealers;
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Related to Registered Dealers

  • registered dealer means a dealer registered under this Act;

  • registered dentist means a fully registered person within the meaning of the Dentists Act 1984 who holds a license to practice under that Act;

  • Registered nurse means a person registered by the Board as a Registered Nurse.

  • registered pharmacist means a person whose name is for the time being entered in the register of the State in which he is for the time being residing or carrying on his profession or business of pharmacy;

  • Registered dietitian means an individual approved to work as a dietitian by the American Dietetic Association’s Commission on Dietetic Registration.

  • Registered design in this Act shall mean a design for which a design registration has been granted.

  • Registered Name refers to a domain name within the domain of the Registry TLD, whether consisting of two or more (e.g., xxxx.xxxxx.xxxx) levels, about which VNDS or an affiliate engaged in providing registry services maintains data in a registry database, arranges for such maintenance, or derives revenue from such maintenance. A name in a registry database may be a Registered Name even though it does not appear in a TLD zone file (e.g., a registered but inactive name).

  • Authorized Dealer means a person authorized as an authorized dealer under sub-section (1) of section 10 of FEMA.

  • Registered User means a customer who has registered for RHBAM.

  • Renminbi Dealer means an independent foreign exchange dealer of international repute active in the Renminbi exchange market in Hong Kong reasonably selected by the Issuer.

  • registered firm means a registered dealer, registered adviser or registered investment fund manager;

  • Registered entity means a covered entity, opt-in entity,

  • Selected Dealer shall have the same meaning in this Agreement as in the Distribution Agreement. As principal, we offer to sell shares to you, as a Selected Dealer, upon the following terms and conditions:

  • Relevant Dealer means, in respect of any Variable Rate Note, the Dealer party to the Programme Agreement referred to in the Agency Agreement with whom the Issuer has concluded or is negotiating an agreement for the issue of such Variable Rate Note pursuant to the Programme Agreement;

  • Licensed dealer means a person who is federally licensed under 18 U.S.C. Sec. 923(a).

  • registered person means a person who is registered under section 25 but does not include a person having a Unique Identity Number;

  • Registered Representative is defined as a duly registered representative of Broker-Dealer, in good standing, with the authority to sell Contracts as required by the Financial Industry Regulatory Authority, Inc. (hereinafter “FINRA”) and who is appointed as a non exclusive agent of the Company and properly licensed and appointed in accordance with applicable laws and regulations and the Company’s Licensing, Appointment and Registration policy, as amended from time to time.

  • Registered Shareholders means registered holders of our Shares on the Record Date.

  • Registered Shareholder means a registered holder of PUF Shares as recorded in the shareholder register of the Company maintained by Computershare;

  • Dealer Managers shall have the meaning set forth in the preamble.

  • registered and “registration” refer to a registration effected by preparing and filing a registration statement in compliance with the Securities Act, and the declaration or ordering of the effectiveness of such registration statement.

  • Registered lobbyist means a person registered under Title 36, Chapter 11,

  • Registered Player means a person whose application for registration with the Club has been validated by the Registrar for the current playing season;

  • registered graduate means a graduate registered under this Act;

  • Secondhand dealer means a person who carries on the business of retailing or wholesaling used or secondhand property, including collectibles, or who operates a secondhand dealers’ premises, except for a person who carries on the business of retailing or wholesaling used property limited to:

  • Registered Clubs Act means the Registered Clubs Act 1976 and any regulation made under the Registered Clubs Act 1976. Any reference to a provision of the Registered Clubs Act includes a reference to the same or similar provision in any legislation replacing, amending or modifying the Registered Clubs Act however that provision may be amended in that legislation.