Securities Related Activities definition

Securities Related Activities means acting as a securities dealer and carrying on any business which is incidental to or a necessary part of such activities provided that the Board may, from time to time, include in, or exclude from this definition any activities and change those included or excluded;
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Securities Related Activities with respect to any Person, such Person’s activities as a broker, a dealer, an underwriter, an investment adviser registered under the Investment Advisers Act of 1940, as amended, or as an investment adviser to a registered investment company.
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Securities Related Activities means acting as a dealer (principal) or broker (agent) in carrying out transactions in securities on behalf of clients including, without limitation, acting as an underwriter or adviser, and also includes acting in any of such capacities in transactions in commodity futures contracts or commodity futures options as defined by the applicable legislation.
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Examples of Securities Related Activities in a sentence

  • Disclosure in Respect of Securities Related Activities in a Canadian Financial Institution CQSI registrants may conduct securities related activities in an office or branch of a Canadian financial institution such as a credit union.

  • Below we show how this premium is related to the aggregate financial conditions and to the default threshold via the specification of the optimal contract on investment.

  • The IDA By-law, similarly, requires a sales company to conduct all Securities Related Activities on behalf of and in the name of the firm.

  • If yes, I have read the Disclosure in Respect of Securities Related Activities in a Canadian Financial Institution in the Booklet.The Entity, a resident of Canada, meets all provisions of the Withholding Tax Treaty that are necessary to claim a reduced rate of withholding, including any limitation on benefits provisions, and derives the income within the meaning of section 894 of the Internal Revenue Service Income Tax Code and the regulations thereunder, as the beneficial owner.

  • Section 39.5(j) and Appendix C to the IDA By-law state that each sales company, each Approved Person and each person acting on behalf of the sales company who conducts Securities Related Activities on behalf of the firm must comply with and do all acts and things necessary to cause the sales company to comply with all by-laws.

  • Specifically, the non-Member business activities permitted to be carried on by a sales company are much more restricted than for an individual advisor that is an employee or an agent and are limited to Securities Related Activities, insurance activities in compliance with the provisions of the IDA By-law and only other activities that have been approved by the IDA.

Related to Securities Related Activities

  • Business Activities shall be deemed to include any activities which are included in the Company's Business now or during the effective period of this Agreement.

  • Instrumental activities of daily living or “IADL” means tasks consisting of housekeeping, laundry, shopping, transportation, medication management and meal preparation.

  • Regulated Activity means any generation, treatment, storage, recycling, transportation, disposal or release of any Hazardous Substances.

  • Restricted Activity means directly or indirectly owning any interest in, managing, controlling, participating in, consulting with, rendering services for, or in any manner engaging in any business with any customer, supplier, competitor or other person having a business relation with the Company or any of its subsidiaries; provided however that the term "Restricted Activity" shall not include passive ownership of not more than 2% of the outstanding stock of any class of a corporation which is publicly traded, so long as Executive has no active participation in the business of that corporation.

  • Activities has the meaning specified in Section 7.02(b).

  • Prohibited Activity means any service or activity on behalf of a Competing Business that involves the planning, management, supervision, or providing of services that are similar in nature or purpose to those services Employee provided to the Company within the last 12 months of Employee’s employment with the Company or any other activities that would involve the use or disclosure of Confidential Information.

  • Interscholastic Activities means athletic or non-athletic/academic activities where students compete on a school vs. school basis.