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

  • 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.

  • 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.

  • 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).

  • As such all underwriting and sub-underwriting activities of the Fund will be undertaken in accordance with SEBI (Underwriters) Rules and Regulations, 1993, and the norms as laid down by SEBI Circular dated June 30, 1994, and as amended from time to time.

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

  • Bob Securities Professional also began to notice that Mr. Investor didn’t always return his telephone calls, which was unusual, as they spoke regularly over their 25 year relationship.

  • For registration, a trader has to meet SET criteria.19Thailand 2Investment consultant type A market professional must hold Securities Professional Certificate before attending the exam for the Securities Business Practising Certificate.

  • Bob Securities Professional encouraged Mr. Investor to invite his Daughter to their meetings.

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

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


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:

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

  • Health professional means any of the following:

  • 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).

  • 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.

  • Mental health professional means a psychiatrist,

  • 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 or certified to perform specified health care services consistent with state law.

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

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