Selected Dealers definition

Selected Dealers. Broker-dealers who are members of the National Association of Securities Dealers, Inc. and who have executed an agreement with the Sales Agent in which the Selected Dealers agree to participate with the Sales Agent in the Offering.
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Selected Dealers concession shall be deemed to mean the prices and concessions determined by you from time to time in your discretion. Unless otherwise permitted in the Invitation, we will not sell any Securities to any account over which we have discretionary authority. We will also comply with any other restrictions which may be set forth in the Invitation. The initial public advertisement, if any, with respect to the Securities shall appear on such date, and shall include the names of such of the Underwriters, as you may determine.
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Selected Dealers as used in the provisions of the Dealer Manager Agreement incorporated by reference herein shall mean the RIAs and other financial intermediaries participating in the Follow-On Offering.
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Examples of Selected Dealers in a sentence

  • We may, with respect to any Offering, be authorized to over-allot in arranging sales to Selected Dealers, to purchase and sell Securities for long or short account and to stabilize or maintain the market price of the Securities.

  • Shares sold to Selected Dealers shall be for resale by such dealers only at the public offering price set forth in the Prospectus.

  • The Distributor shall bear the costs and expenses of preparing, printing and distributing any supplementary sales literature used by the Distributor or furnished by it for use by Selected Dealers in connection with the offering of the Shares for sale.

  • In making agreements with Selected Dealers, the Distributor shall act only as principal and not as agent for a Fund.

  • It is also understood that Selected Dealers, including DWR, may also sell shares for other registered investment companies.

  • Nothing contained in this Master SDA or any Wire shall constitute the Selected Dealers an association or partners with us or any Underwriter or with one another, and the obligations of you and each of the other Selected Dealers or any of the Underwriters are several and not joint.

  • If the Selected Dealers, among themselves, with us or with the Underwriters, should be deemed to constitute a partnership for federal income tax purposes, then you elect to be excluded from the application of Subchapter K, Chapter 1, Subtitle A of the Internal Revenue Code of 1986 and agree not to take any position inconsistent with such election.

  • After the initial Offering has commenced, we may change the Offering Price, the Selling Concession and the Reallowance (if any) to Selected Dealers.

  • However, you shall pay any transfer tax on sales of Securities by you and you shall pay your proportionate share of any transfer tax or other tax (other than the single transfer tax described above) in the event that any such tax shall from time to time be assessed against you and other Selected Dealers as a group or otherwise.

  • With respect to Class A Shares, in such agreement the Distributor shall have the right to fix the portion of the applicable front-end sales charge which may be allocated to the Selected Dealers.


More Definitions of Selected Dealers

Selected Dealers means broker-dealers who are members of the National Association of Securities Dealers, Inc. and who have executed an agreement with the Dealer Manager in which the Selected Dealers agree to participate with the Dealer Manager in the Offering.
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Selected Dealers refers to those members of the National Association of Securities Dealers, Inc. that are selected by the Underwriter to participate in the offer and sale of the Units to the public. "Sponsor" refers to the General Partner and to any other Person directly or indirectly instrumental in organizing, wholly or in part, the Partnership or to any other Person who will manage or participate in the management of the Partnership, and any Affiliate of any such Person. The term does not include a Person whose only relation with the Partnership is that of an independent equipment manager and whose only compensation is as such, and the term does not include wholly independent third parties such as attorneys, accountants, and underwriters whose only compensation is for professional services rendered in connection with the offering 5 6 of the Partnership Units or the business of the Partnership. "Subscription Proceeds" means the monies tendered to the Partnership by subscribers for the Units. "Substituted Limited Partner" means any Person admitted to the Partnership as a Limited Partner pursuant to the provisions of Section 10.2 hereof. "Underwriter" refers to Cronos Securities Corp., a California corporation and an affiliate of Cronos Capital Corp. "Unit" means a limited partnership interest in the Partnership representing an investment therein of $20 ($18.40 for employees of the General Partner or any Affiliate of the General Partner, employees of any Selected Dealer or of any investment advisor affiliated with a Selected Dealer). -------------------------------------------------------------------------------- ARTICLE II FORMATION, NAME, PLACE OF BUSINESS, PURPOSE AND TERM --------------------------------------------------------------------------------
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Selected Dealers or "Participating Dealers") will be allowed a selling concession of percent of the full ten percent (10%) commission and payable as hereinafter provided. No concession shall be earned or paid unless 1,000,000 Shares and 2,000,000 A Warrants are sold within ninety days from the effective date of the Registration Statement under the Securities Act of 1933 filed by the Company with the Securities and Exchange Commission ("Termination Date"), which date may be extended for an additional sixty (60) days by mutual agreement of the Company and the Underwriter.
Sample 1
Selected Dealers. Selling Not to exceed $____ per Unit payable upon Concession: termination of this Agreement, except as provided below. Maxim reserves the right not to pay such concessions on any of the Units purchased by the Selected Dealer from Maxim and repurchased by Maxim at or below the price stated above prior to such termination.
Sample 1

Related to Selected Dealers

  • Selected Dealer shall have the same meaning in this Agreement as in the Distribution Agreement. As principal, we offer to sell shares to you, as a Selected Dealer, upon the following terms and conditions:

  • Dealer Managers shall have the meaning set forth in the preamble.

  • Soliciting Dealers means those broker-dealers that are members of the Financial Industry Regulatory Authority, or that are exempt from broker-dealer registration, and that, in either case, enter into participating broker or other agreements with the Dealer Manager to sell Shares.

  • Wholesale dealer means any dealer who deals in, or who holds a licence under any law to deal in, as the case may be, wholesale quantities of goods, and the business and stock of a wholesale dealer shall be deemed to include the business and stocks of any retail dealer who conducts business on the same premises on which the wholesale dealer conducts his or her business; and

  • Dealers shall refer to alternate distribution sources for an OEM that are authorized and designated by said OEM, subject to approval by New York State.

  • Licensed dealer means a person who is federally licensed under 18 U.S.C. Sec. 923(a).

  • Participating Broker-Dealers shall have the meaning set forth in Section 4(a) hereof.

  • Approved Dealer means (a) in the case of any Portfolio Investment that is not a U.S. Government Security, a bank or a broker-dealer registered under the Securities Exchange Act of 1934 of nationally recognized standing or an Affiliate thereof, (b) in the case of a U.S. Government Security, any primary dealer in U.S. Government Securities, and (c) in the case of any foreign Portfolio Investment, any foreign broker-dealer of internationally recognized standing or an Affiliate thereof, in the case of each of clauses (a), (b) and (c) above, as set forth on Schedule VII or any other bank or broker-dealer acceptable to the Administrative Agent in its reasonable determination.

  • Dealer Manager means Realty Capital Securities, LLC, or such other Person selected by the Board of Directors to act as the dealer manager for the Offering.

  • Selected Firm means the firm who is selected by the City and to whom the City Council/City Manager awards a contract for the services or commodities requested in this solicitation.

  • Dealer Manager Fee means the fee from the sale of Shares in a Primary Offering, payable to the Dealer Manager for serving as the dealer manager of such Primary Offering.

  • Participating Dealer means any licensed broker or dealer and who has entered into a Participation Agreement in form and substance acceptable to the Manager and the Trustee.

  • Dealer Manager Agreement shall have the meaning set forth in the preamble.

  • Grain dealer means a person engaged in the business of receiving, buying, exchanging, selling, or storing farm produce in this state. The term includes a farm produce trucker, grain merchandiser, or processor. The term does not include a person solely engaged in 1 of the following:

  • Secondhand dealer means a person who carries on the business of retailing or wholesaling used or secondhand property, including collectibles, or who operates a secondhand dealers’ premises, except for a person who carries on the business of retailing or wholesaling used property limited to:

  • managing dealer means a person that has entered into an agreement with an issuer under which the person has agreed to organize and participate in the solicitation of the exercise of the rights issued by the issuer;

  • Distributors means the authorized distributors, agents, sub-distributors of Quick Heal, selling Quick Heal range of products, including sales through Internet.

  • investment dealer means a person or company registered in the category of investment dealer;

  • Renminbi Dealer means an independent foreign exchange dealer of international repute active in the Renminbi exchange market in Hong Kong reasonably selected by the Issuer.

  • Participating Broker-Dealer shall have the meaning set forth in Section 3(t) hereof.

  • Vehicle dealer means a person engaged in the business of buying, selling, or exchanging a vehicle as defined in Subsection (138).

  • Underwriter means a securities dealer who purchases any Registrable Securities as principal in an Underwritten Offering and not as part of such dealer’s market-making activities.

  • Authorized Dealer means a person authorized as an authorized dealer under sub-section (1) of section 10 of FEMA.

  • Underwriters means the underwriters named in Schedule A to the Underwriting Agreement.

  • Eligible Dealer means any corporation or other entity having as a principal business acting as a broker or dealer in securities.

  • Scrap metal dealer means a person or governmental unit that buys scrap metal and is not a first purchaser. The term includes, but is not limited to, a person, whether or not licensed under state law or local ordinance, that operates a business as a scrap metal recycler, scrap processor, secondhand and junk dealer, or other person that purchases any amount of scrap metal on a regular, sporadic, or 1-time basis.