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

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.

  • A shareholder residing abroad and a registered pledgee of shares or their statutory agent shall appoint a standing agent in Japan or determine a place to receive notices in Japan, and notify the name and address of the standing agent or the place to receive notices through the Securities Firm and JASDEC, as prescribed by JASDEC.

  • Shareholders who jointly hold shares shall determine their representative, and notify the name and address of the representative 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.


More Definitions of Securities firm

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
Securities firm means any firm or corporation operating in Canada and carrying on securities related activities.
Securities firm means orders from other securities firms executed on an agency basis.
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 and brokering or securities finance companies engaging in the securities finance business.
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