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.
Sample 1Sample 2Sample 3
Securities firm means securities firms engaging in securities
Sample 1Sample 2
Securities firm means orders from other securities firms executed on an agency basis.
Sample 1

Examples of Securities firm in a sentence

  • A corporate shareholder shall notify its representative through the Securities Firm and JASDEC, as prescribed by JASDEC.

  • A shareholder shall notify his/her name and address through the Securities Firm and JASDEC, as prescribed by JASDEC.

  • If a shareholder holding shares less than one (1) unit requests a sale of the number of shares which, when aggregated with the number of his/her shares less than one (1) unit, constitutes a unit share (tangen kabushiki) (hereinafter referred to as the “Request for Purchasing Additional Shares”), he/she shall make such request through the Securities Firm and JASDEC, as prescribed by JASDEC.

  • 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.

  • A shareholder’s statutory agent, such as parent (shinken sha) and guardian (kouken nin), shall notify his/her name and address through the Securities Firm and JASDEC, as prescribed by JASDEC.


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.
Sample 1
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.
Sample 1
Securities firm means securities firms engaging in securities underwriting, proprietary trade and brokering or securities finance companies engaging in the securities finance business.
Sample 1
Securities firm means a person who carries on 40 “securities firm” means a person who carries on
Sample 1
Securities firm means securities firms engaging in securities underwriting, proprietary trade
Sample 1
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 …
Sample 1
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.
Sample 1