REGISTERED REPRESENTATIVES. Individuals affiliated with Broker-Dealer who are licensed as life insurance agents in those jurisdictions in which applications for the sale of Contracts are to be solicited and who are also duly registered with the National Association of Securities Dealers, Inc. (herein "NASD") in compliance with the '34 Act. '33 ACT - The Securities Act of 1933, as amended. '34 ACT - The Securities Exchange Act of 1934, as amended. RELATIONSHIP OF PARTIES
REGISTERED REPRESENTATIVES means those “representatives” (as such term is defined under FINRA Rule 1031(b)) who are licensed with Seller as of the date hereof or who become licensed with Seller prior to Closing. The Registered Representatives are listed on Schedule 1, such Schedule to be amended from time to time prior to Closing by Seller to reflect additions or deletions from the listing.
REGISTERED REPRESENTATIVES the meaning set forth in Section 3.11(b).
Examples of REGISTERED REPRESENTATIVES in a sentence
PLEASE NOTE THAT EMPLOYEES AND REGISTERED REPRESENTATIVES OF SIDCO ARE SUBJECT TO THE SUPERVISORY PROCEDURES AND OTHER POLICIES AND PROCEDURES OF SIDCO, AND ARE ALSO SUBJECT TO THE CODE OF CONDUCT OF SEI INVESTMENTS COMPANY, WHICH IS THE PARENT COMPANY OF SIDCO.
REGISTERED REPRESENTATIVES: INVESTOR SERVICES DEPARTMENT AT (800) 421-5666.
REGISTERED REPRESENTATIVES: o may not acquire Securities as part of an Initial Public Offering ("IPO").
Within ten (10) days following the commencement of their registration with a broker/dealer identified in Exhibit B, and 45 days following the end of each calendar year, all NON-BISYS EMPLOYEE REGISTERED REPRESENTATIVES shall be required to sign and submit to the Code Compliance Officer a written certification, in the form of Exhibit I hereto, affirming that he/she is subject to an RIA code of ethics.
REGISTERED REPRESENTATIVES - Individuals affiliated with each General Agent and the Broker-Dealer who are licensed as life insurance agents in those jurisdictions in which applications for the sale of Contracts are to be solicited and who are also duly registered with the National Association of Securities Dealers, Inc.
More Definitions of REGISTERED REPRESENTATIVES
REGISTERED REPRESENTATIVES has the meaning set forth in Section 4.14(b).
REGISTERED REPRESENTATIVES means "associated persons" (as defined in the Securities Exchange Act of 1934, as amended, and the rules and regulations promulgated thereunder (the "1934 Act") of the Company, who are or are required to be registered with any Financial Regulatory Authority. A list containing all of the Licenses and Permits is set forth on Schedule 3.28(a) hereof.
REGISTERED REPRESENTATIVES. Individuals affiliated with the Broker-Dealer who are licensed as life insurance agents in those jurisdictions where Contracts are to be serviced and who are also duly registered with the National Association of Securities Dealers, Inc. (herein the "NASD") in compliance with the '34 Act. VERAVEST - VeraVest Investments, Inc. (formerly known as Allmerica Investments, Inc.) was the exclusive distributor and principal underwriter for the Contracts when they were initially sold and was replaced by SDI, effective November 1, 2006.
REGISTERED REPRESENTATIVES means persons who hold the Capital Markets Services Representatives License to carry on Trading in Futures Contracts and who are nominated by a Clearing Participant to be registered and whose registration has not been terminated.
REGISTERED REPRESENTATIVES means registered representatives or investment advisor representatives who are licensed with Seller on the date hereof, as listed on Schedule 1.1 (r) to this Agreement, and any registered representatives or investment advisor representatives who become licensed with Seller after the date hereof.
REGISTERED REPRESENTATIVES. Individuals affiliated with General Agent and Broker-Dealer who are licensed as life insurance agents in those jurisdictions in which applications for the sale of Contracts are to be solicited and who are also duly registered with the National Association of Security Dealers, Inc. (herein "NASD") in compliance with the '34 Act. '33 ACT - The Securities Act of 1933, as amended. INDEPENDENT '34 ACT - The Securities Exchange Act of 1934, as amended. CONTRACTOR STATUS SECTION 1. Nothing in this Agreement will be construed to create the relationship of employer and employee between Allmerica or either Insurance Company and General Agent, Broker-Dealer or any Registered Representative. General Agent and Registered Representatives will be free to exercise their independent judgment as to the time, place and manner of solicitation and servicing of business underwritten by the Insurance Companies. However, General Agent, Broker-Dealer and Registered Representatives shall have no authority to act on behalf of Allmerica or the Insurance Companies in a manner which does not conform to applicable statutes, ordinances, or governmental regulations or to reasonable rules adopted from time to time by Allmerica or the LIMITATIONS Insurance Companies, which said reasonable rules shall have ON AUTHORITY been provided in writing to Broker-Dealer and General Agent.
REGISTERED REPRESENTATIVES. Please check with your home office to verify if their signature is required prior to submission. Our client, [NAME OF PROSPECTIVE INVESTOR] (the “Prospective Investor”), has asked me to verify the Prospective Investor’s status as an “accredited investor” as that term is defined in Rule 501(a) of Regulation D of the Securities Act of 1933, as amended (an “Accredited Investor”). I am providing this verification to assure MVP REIT, II, Inc. (the “Company”), that the Prospective Investor is an Accredited Investor and is eligible to participate in a placement of securities (the “Offering”) by MVP REIT II, Inc. that is only open to Accredited Investors. I am [ ] a registered broker-dealer, [ ] an SEC or State-registered investment advisor, [ ] a licensed attorney, [ ] a certified public accountant duly registered and in good standing under the laws of the jurisdiction of my residence or principal office. I acknowledge that the Company will rely on this verification in determining the Prospective Investor’s eligibility to participate in the Offering and otherwise to confirm compliance with Regulation D and I consent to such reliance. I have undertaken an independent analysis of the Prospective Investor’s status as an Accredited Investor at least once during the three-month period preceding the date of this verification. To my knowledge after reasonable investigation, no facts, circumstances or events have arisen after that date that lead me to believe that the Prospective Investor has ceased to be an Accredited Investor. I have taken reasonable steps to verify that the Prospective Investor is an Accredited Investor based on his [ ] income, [ ] net worth (whether individual or together with his/her spouse) and, based on those steps, I have determined that the Prospective Investor is an Accredited Investor. I further represent and warrant that neither I nor, to the extent applicable if I am an entity, any of my directors, executive officers, other participating officers, general partners or managing members, is subject to any “Bad Actor” disqualifications described in Rule 506(d)(1)(i) to (viii) under the Securities Act (a “Disqualifying Event”), except for a Disqualifying Event covered by Rule 506(d)(2)(ii) or (iii) or (d)(3) under the Securities Act and disclosed reasonably in advance of the closing in writing in reasonable detail to the Company. Name Firm or Company Phone Registered Xxxxxxxxxxxxxx/Xxxxxxx/Xxxxxxxxxx/Xxxxxxxx Xxxxxxx Xxxxxxx Xxxx Xxxxx Xxx Xxxx X...