Securities firm definition

Securities firm means a leading market maker of over the counter equity and multi-asset derivatives with expertise in variable annuity modeling.

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Securities firm means securities firms engaging in securities

Securities firm means a person who carries on the business of buying and selling securities from, to or for a customer, whether or not as a member of an exchange, as principal or agent, and includes any person required to be registered to enter into securities transactions with the public, but does not include a corporate entity that is not a corporation within the meaning of section 2.

Examples of Securities firm in a sentence

• The Technical Arbitrator may be either an Actuary or a Securities Firm that is unaffiliated with the Parties and is disinterested in the outcome of the dispute.

• The amount payable by the Principal to the Securities Firm (based on the amount listed in the list or schedule prepared by the Securities Firm) will be transferred by the Bank to the Securities Firm from the agreed deposit account (including TWD and foreign currency) agreed by the Principal in the Bank in accordance with the payment date specified by the Securities Firm.

• The Bank may also inquire the above information of the Principal from the Securities Firm, and agrees the Securities Firm to produced and exchanged the transaction list to the Bank in paper or electronic media, for the Bank to file the information by computer systems .

• Where any collaterals are found unqualified or where the collateral maintenance ratio is lower than the minimum collateral ratio, the Securities Firm shall forthwith notify the borrower to replace qualified collaterals or to make up the deficiency in the collateral within the following business day.

• The Principal also agrees that the Securities Firm may inquire about the Account balance pursuant to the relevant rules.

More Definitions of Securities firm

Securities firm means any entity licensed and supervised by relevant securities regulators. Entities should be subject to supervisory arrangements comparable to those under Basel II including, in particular, risk-based capital requirements. Domestically, these include all licensed corporations that have registered with the Securities and Futures Commission of Hong Kong.

Securities firm means securities firms engaging in securities underwriting, proprietary trade

Securities firm means a person who carries on the business of buying and selling securities from, to or for a customer, whether or not as a member of an exchange, as principal or agent, and includes any person …

Securities firm means orders from other securities firms executed on an agency basis.

Securities firm means any firm or corporation operating in Canada and carrying on securities related activities.

Securities firm means any entity licensed and supervised by relevant securities regulator. Domestically, these include all non-banking financial entities including investment companies and funds that are under the supervision of the Capital Markets Authority. Securities brokers and financial intermediaries are also included under this definition.

Securities firm means a person who carries on 40 “securities firm” means a person who carries on