Soliciting Broker definition

Soliciting Broker means any Associate who is also providing services to the Plan Sponsor pursuant to a standardized Soliciting Broker contract and who is paid on a commission basis.
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Examples of Soliciting Broker in a sentence

  • Each Associate, Soliciting Broker and Sales Coordinator is eligible to become a Participant in the Plan.

  • If tendered Outstanding Notes are registered in the name of such Soliciting Broker, no soliciting broker fee shall be payable unless such Outstanding Notes are held by such Soliciting Broker as a custodian or other nominee and such Outstanding Notes are being tendered for the benefit of one or more beneficial owners identified in Item 6.

  • In order to receive the soliciting broker fee, the Soliciting Broker must be identified as the Soliciting Broker in Item 6 of the Letter.

  • If the undersigned is both the beneficial holder and registered holder of First Union common shares, the undersigned acknowledges that it should complete this Broker Commission Form and send it, together with the related Form of Election and Letter of Transmittal and the certificates representing the surrendered First Union common shares, to the Soliciting Broker so that he or she can forward such materials to the exchange agent prior to the election deadline.

  • After October 1, 1992, any Associate, Soliciting Broker, Sales Coordinator or, subject to Section 2.1, any Special Associate, shall immediately become a Participant on his or her Commencement Date, unless he or she notifies the Plan Sponsor in writing that he or she will not become a Participant.

  • If the undersigned is the beneficial holder of First Union common shares but not the registered holder of such shares, the undersigned acknowledges that it should complete this Broker Commission Form and send it, together with the appropriate instructions to the registered holder, to the Soliciting Broker so that the Soliciting Broker can forward such materials to the appropriate registered holder.

  • In order for the $1.00 brokerage commission to be paid to the designated Soliciting Broker, this Broker Commission Form must be received, together with the related Form of Election and Letter of Transmittal and the certificates representing the surrendered First Union common shares, by the exchange agent prior to the election deadline, at either of the addresses set forth on the front of this Broker Commission Form.

  • If the beneficial holder completing this Broker Commission Form is not the registered holder of First Union common shares who must complete the related Form of Election and Letter of Transmittal, the beneficial holder should send this Broker Commission Form, together with such holder's instructions, to the Soliciting Broker, which will send such materials to the registered holder.

  • If the holder completing this Broker Commission Form is both the beneficial holder and registered holder of First Union common shares, the beneficial holder should send this Broker Commission Form, together with the related Form of Election and Letter of Transmittal and the certificates representing the surrendered First Union common shares, to the Soliciting Broker.

  • Such materials should be sent sufficiently in advance so that the Soliciting Broker has adequate time to forward such materials to the exchange agent prior to the election deadline.

Related to Soliciting Broker

  • Participating Broker- Dealer: See Section 2(b) hereof. Person: An individual, trustee, corporation, partnership, limited liability company, joint stock company, trust, unincorporated association, union, business association, firm or other legal entity. Private Exchange: See Section 2(b) hereof.

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

  • 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.

  • soliciting dealer means a person whose interest in a distribution of rights is limited to soliciting the exercise of the rights by holders of those rights;

  • Prime Broker means a Person that acts as credit counterparty for transactions executed on the SEF in the name and on behalf of such Person by its client or an agent of its client that is a BSEF Participant and that has authorized a Participant to send RFQs, place Orders or enter into Trades in the name and on behalf of such Person.

  • Soliciting means and include any one or more of the following activities:

  • Soliciting Shareholder means, with respect to any Special Meeting demanded by a shareholder or shareholders, any of the following Persons:

  • Sponsoring Broker means a Participant other than a DMA Customer that allows its designated Customers to access the SEF Platform using the Participant ID of the Participant and (i) with respect to Cleared Swaps, is a Clearing Member; and (ii) with respect to Non-Cleared Swaps, is (x) an FCM or Introducing Broker; or (y) non-U.S. Person acting in a similar capacity that is not required to register as an FCM or Introducing Broker under the Act and that is appropriately licensed in a jurisdiction where its DMA Customer is located.

  • Principal broker means a broker who is either a real estate proprietor, a partner in a real estate partnership, or an officer in a real estate corporation.

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

  • Designated Broker means the financial services firm or other agent designated by the Company to maintain ESPP Share Accounts on behalf of Participants who have purchased shares of Common Stock under the Plan.

  • Seller’s Broker means Xxxxxxx & Xxxxxxxxx.

  • 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.

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

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

  • Customs Broker means that individual, partnership, entity or corporation licensed by the Canada Border Services Agency, or other authorized body, to engage in the business of a customs broker and who is named as the Customs Broker in the Agency Agreement and Power of Attorney.

  • 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.

  • Finder means a person who, for consideration, participates in the offer to sell, sale, or purchase of securities by locating, introducing, or referring potential purchasers or sellers. Finder does not include a person whose actions are solely incidental to a transaction exempt pursuant to section 202(1)(r). The administrator may by rule or order exclude other persons from this definition.

  • Commodity Broker means any person who engages in the business of effecting transactions in Commodity Contracts for the account of others or for his or her own account.

  • Mortgage broker means any person who for compensation or

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