Securities Professional definition

Securities Professional includes an individual who, if working in the United States, is:
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Securities Professional means an agent, an investment adviser representative, or a person who serves in a supervisory or compliance capacity for a dealer or investment adviser.
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Securities Professional means an agent, an
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Examples of Securities Professional in a sentence

  • A person who works outside of the United States will be considered a "Securities Professional" if he or she performs the same functions as someone who would be considered a "Securities Professional" in the United States.

  • Our UCIs are not exposed to these warnings;- help in preparing responses through the French Association of Securities Professional (AFTI) to the various financial markets surveys by the AMF and the transposition of UCITS 4, which will enter into force on July 1, 2011: UCITS with constant NAV, transition to the KIID (Key Investor Information Document), manual for preparing by-laws and prospectuses, etc.

  • A similar issue arises in connection with introduction of sky marshals.

  • As explained above, the Exchange has also proposed to increase fees for Directed ISO’s to ARCA in non-Penny Pilot Securities, to BX Options in non-Penny Pilot Securities (Professional, Firm or Market Maker orders only), and to C2 (Professional, Firm or Market Maker orders) to $0.95 per contract (from the current charge of $0.60 per contract for all Directed ISO’s other than in non-Penny Pilot Securities routed to NOM).

  • Time trends among women in 39 low- and middle-income coun- tries (1991–2008).

  • All students are required by Stony Brook University to participate in training focused on RCRS that will begin during orientation, and M.S. and Ph.D. students will receive further training in special sessions of MAR 568 (Practical Skills for Scientists).

  • Recently, Mr. Investor told Bob Securities Professional that he wanted to generate higher returns from his account, and to change the beneficiaries on his IRA and Trust account from his children to his sister-in-law.

  • Mr. Investor met with Bob Securities Professional to discuss his portfolio.

  • Obtaining Information at Account Opening Mr. Investor’s Daughter opened an account with Betty Securities Professional over the phone.

  • The assessment has also explored options for athletics and archery alongside these other sports given the potential relationship between facilities used by these sports and sites used by the main pitch sports.


More Definitions of Securities Professional

Securities Professional means any person providing investment-related services in Vermont, including: broker-dealers, agents, investment advisers, investment adviser representatives, solicitors, and third-party portals.”
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Securities Professional means any broker, dealer, investment advisor or Person, otherwise employed by an organization conducting professional activities involving the buying and selling of financial instruments, such as stocks, bonds, options, futures contracts or other trading vehicles. In addition, a Person shall not be considered Non-Professional if they are consultants, independent contractors, software developers or others that use Market Data for any purpose for profit other than the trading of a personal account. For greater certainty, a Non-Professional cannot be registered or qualified with:
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Securities Professional is defined to include an individual who, if working in the United States, is:
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Securities Professional means a person who: (a) acts as a broker or dealer in the purchase or sale of negotiable financial instruments for third parties or is registered or qualified in any capacity under any U.S. federal, or state, or Canadian, or provincial, securities or commodities trading law, rule, or regulation or the rules or regulations of any securities or commodities exchange, market or association; (b) falls within the definition of “investment banker” as that term is defined in the U.S. Investment Company Act of 1940; (c) is a registered Investment Advisor, (d) or engages in the buying or selling of negotiable financial instruments for a third party’s account (as opposed to for his or her own personal account).
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Related to Securities Professional

  • Qualified professional means, for the purposes of OAR 411-320- 0080, any of the following licensed professionals trained to make a diagnosis of a specific intellectual or developmental disability:

  • Health professional means an individual licensed or otherwise authorized to engage in a health profession under article 15 of the public health code, 1978 PA 368, MCL 333.16101 to 333.18838, and whose scope of practice includes the diagnosis and treatment of individuals with a substance use disorder.

  • Health care professional means a physician or other health care practitioner licensed, accredited or certified to perform specified health care services consistent with state law.

  • Licensed professional counselor means a counselor licensed by a Member State, regardless of the title used by that State, to independently assess, diagnose, and treat behavioral health conditions.

  • Registered professional engineer means a person who is registered as a professional engineer pursuant to s. 443.04, Stats.

  • Professional means an Entity: (a) employed pursuant to a Bankruptcy Court order in accordance with sections 327, 363, or 1103 of the Bankruptcy Code and to be compensated for services rendered prior to or on the Confirmation Date, pursuant to sections 327, 328, 329, 330, 331, and 363 of the Bankruptcy Code; or (b) awarded compensation and reimbursement by the Bankruptcy Court pursuant to section 503(b)(4) of the Bankruptcy Code.