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

  • 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.

  • Notwithstanding the provisions of this Section 10(d), no Securities Professional shall be required to contribute any amount in excess of the amount by which the total price at which the Registrable Securities of such Holder were offered to the public exceeds the amount of any damages which such Holder has otherwise been required to pay by reason of such untrue or alleged untrue statement or omission or alleged omission.

  • Daughter informed Betty Securities Professional that she was nearing retirement and wanted to preserve her nest egg.

  • Betty Securities Professional asked Daughter to provide financial information and then filled in the remainder of the new account form herself.

  • Bob Securities Professional noted these observations in his file.

  • If you have told us in writing that you are a Securities Professional then you represent and warrant to us that you are a Securities Professional until you notify us in writing to the contrary.

  • Notwithstanding the provisions of this Section 7(d), no Securities Professional shall be required to contribute any amount in excess of the amount by which the total price at which the Registrable Securities of such holder were offered to the public exceeds the amount of any damages which such holder has otherwise been required to pay by reason of such untrue or alleged untrue statement or omission or alleged omission.

  • Bob Securities Professional has handled his investment portfolio for 25 years.

  • Under investment objectives, Betty Securities Professional put “speculative.” Betty Securities Professional purchased speculative stocks in Daughter’s account.Pursuant to a variety of securities laws, and rules, financial services firms are required to obtain sufficient information about an investor to ensure that recommendations are appropriate for the investor, and that the investor’s account is managed consistent with the investor’s investment objectives.

  • DNN consists of an input layer, several hidden lay- ers, and an output layer with a number of nodes.A DNN with 7-10-3-1 layers was used to calcu- late the kinetic energy of the PLF.


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 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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Securities Professional is defined to include an individual who, if working in the United States, is:
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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:

  • Developmental disabilities professional means a person who

  • Medical professional means any person licensed or certified to provide health care services to

  • Agent Professionals means attorneys, accountants, appraisers, auditors, business valuation experts, liquidation agents, collection agencies, auctioneers, environmental engineers or consultants, turnaround consultants, and other professionals and experts retained by Agent.

  • Licensed health professional means a physician; physician assistant; nurse practitioner; physical, speech or occupational therapist; registered professional nurse; licensed practical nurse; or licensed or certified social worker.

  • Health professional means any of the following:

  • Licensed professional means a professional registered in the Commonwealth of Virginia pursuant to Article 1 (§ 54.1-400 et seq.) of Chapter 4 of Title 54.1 of the Code of Virginia. For purposes of these Standards and Specifications a licensed professional is one that is certified by DPOR as an Architect, Professional Engineer, Land Surveyor, or Landscape Architects.

  • Licensed health care professional means a person who possesses a professional medical license that is valid in Oregon. Examples include, but are not limited to, a registered nurse (RN), nurse practitioner (NP), licensed practical nurse (LPN), medical doctor (MD), osteopathic physician (DO), respiratory therapist (RT), physical therapist (PT), physician assistant (PA), or occupational therapist (OT).

  • Professional Persons means all Persons retained by order of the Bankruptcy Court in connection with the Reorganization Cases, pursuant to sections 327, 328, 330 or 1103 of the Bankruptcy Code, excluding any ordinary course professionals retained pursuant to order of the Bankruptcy Court.

  • Professionals means those Persons (a) employed pursuant to an order of the Bankruptcy Court in accordance with Sections 327 or 1103 of the Bankruptcy Code and to be compensated for services pursuant to Sections 327, 328, 329, 330 and 331 of the Bankruptcy Code, or (b) for which compensation and reimbursement has been allowed by the Bankruptcy Court pursuant to Section 503(b)(4) of the Bankruptcy Code.

  • Registered Professional means a professional registered or licensed by and in the State of Florida and practicing under Chapter 471, 472, 481, or 492, F.S.

  • Retained Professional means an Entity: (a) employed in the Chapter 11 Cases pursuant to a Final Order in accordance with sections 327 and 1103 of the Bankruptcy Code and to be compensated for services rendered prior to the Effective Date, pursuant to sections 327, 328, 329, 330, or 331 of the Bankruptcy Code; or (b) for which compensation and reimbursement has been allowed by the Bankruptcy Court pursuant to section 503(b)(4) of the Bankruptcy Code.

  • Mental health professional means a psychiatrist,

  • Allied Health Professional means a person registered as an allied health professional with the Health Professions Council;

  • Registered professional nurse means that term as defined in section 17201 of the public health code, 1978 PA 368, MCL 333.17201.

  • Healthcare Professional means any member of the medical, dental, pharmacy or nursing professions or any other person who in the course of his or her professional activities may prescribe, recommend, purchase, supply, or administer a pharmaceutical product.

  • Best management practice (BMP) means a structural device or nonstructural practice designed to temporarily store or treat stormwater runoff in order to mitigate flooding, reduce pollution, and provide other amenities.

  • Health care professional means a physician or other health care practitioner licensed, accredited, registered, 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.

  • Paraprofessional means a person who does not have an academic degree related to the scope of treatment or support services being provided but performs prescribed functions under the general supervision of that discipline.

  • Uniform Standards of Professional Appraisal Practice means the current standards of the appraisal profession, developed for appraisers and users of appraisal services by the Appraisal Standards Board of the Appraisal Foundation.

  • Professional person means a mental health professional,

  • 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.

  • Appraisal management services means one or more of the following:

  • regulated profession means a regulated profession as defined in Article 3(1)(a) of Directive 2005/36/EC.