Security broker definition

Security broker means a "broker" as such term is defined under the Securities Exchange Act of
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Security broker means a “broker” as such term is defined under the Securities Exchange Act of 1934 (15 U.S.C. § 78a et seq.), or any successor law to the Securities Exchange Act of 1934, who is registered with the United States Securities and Exchange Commission.
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Examples of Security broker in a sentence

  • These are the lagged Market return (Mkt lagged), the difference of the 3-month Tbill rate and its four-quarter moving average (RREL), the term spread (TERM), the default spread (DEF), the dividend-price-ratio DPRATIO), the log consumption-wealth ratio (cay), as well as the annual growth rate of Security broker dealer leverage (ySBRDLR:levg).

Related to Security broker

  • Authorized Broker means those Brokers which are authorized to deal in Government Securities.

  • Introducing Broker means a third party who introduces prospective Clients to the Company.

  • Real estate broker means an individual or business entity that, with intent to collect or receive a fee, compensation, or valuable consideration, sells or offers for sale, buys or offers to buy, provides or offers to provide market analyses of, lists or offers or attempts to list, or negotiates the purchase, sale, or exchange of real estate; that negotiates the mortgage of real estate; that negotiates for the construction of a building on real estate; that leases or offers or rents or offers for rent real estate or the improvements on the real estate for others, as a whole or partial vocation; that engages in property management as a whole or partial vocation; that sells or offers for sale, buys or offers to buy, leases or offers to lease, or negotiates the purchase or sale or exchange of a business, business opportunity, or the goodwill of an existing business for others; or that, as owner or otherwise, engages in the sale of real estate as a principal vocation.

  • Landlord’s Broker means the individual or corporate broker identified on the Basic Lease Information sheet as the broker for Landlord.

  • Salesperson means any person holding an Iowa real estate salesperson license as defined in Iowa Code section 543B.5(19).

  • Broker means any person engaged in the business of effecting transactions in securities for the account of others.

  • Tenant’s Broker means the individual or corporate broker identified on the Basic Lease Information sheet as the broker for Tenant.

  • Surplus lines broker means a person licensed pursuant to Article 5.1 (§ 38.2-1857.1 et seq.) of this