Brokerage Firms definition

Brokerage Firms means any domestic firm engaged in the business of effecting transactions in securities for the account of others and (1) as of December 31, 2009, reported on its audited balance sheet in
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Brokerage Firms means IFG Network Securities, Inc., Intrust Financial Services, Investment Tax Strategies, Professional Planning, Ixxxx Financial Service, Capital Strategies, Ltd., Sentra Securities, GBS Financial, Strategic Assets, Inc., and Sxxxx Mxxxx & Co. Brokerage Firms does not mean or include Mxxxxx Capital Resources, Inc. or Dxxxxx X. Xxxxxxx.
Sample 1
Brokerage Firms means IFG Network Securities, Inc., Intrust Financial Services, Investment Tax Strategies, Professional Planning, Xxxxx Financial Service, Capital Strategies, Ltd., Sentra Securities, GBS Financial, Strategic Assets, Inc., and Xxxxx Xxxxx & Co. Brokerage Firms does not mean or include Xxxxxx Capital Resources, Inc. or Xxxxxx X. Xxxxxxx.
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Examples of Brokerage Firms in a sentence

  • Nevertheless, its trading activity will be accumulated to the total number of trades, volume and traded value of the issuer, from the participant Brokerage Firm or Brokerage Firms and the market in general.

  • During the period 2009-2014, the Office of the Attorney General of the Republic (FRG), through its School for Prosecutors, conducted several trainings about femicide and on the approach to violence against women.

  • Brokerage Firms will be able to request the cancellation or settlement modification under the procedure stablished in the 1.5 and 1.6 subparagraphs of this Trading Rules.

  • Licensee shall work as an independent contractor and agent of Brokerage Firm and will, prior to actively engaging in any real estate activities, sign Brokerage Firm's independent contractor agreement.

  • The measures outlined in the remaining provisions of this section are intended to help assure that Brokerage Firms are accessible only to Licensees, their employees, Brokerage Firm employees, clients, and other persons who have a legitimate reason to be in Brokerage Firm’s offices, such as delivery service personnel or vendors.

  • Insurance Brokerage Firms are required to provide information on proper representative(s) including their names, telephone, facsimile, e-mail, physical and postal addresses, along with their offers.

  • Stockholders call toll-free: (800) 859-8509Banks and Brokerage Firms call: (212) 269-5550 E-mail: mgpi@dfking.com Only holders of record of MGP's voting securities as of the close of business on April 3, 2013 (the "Record Date") are entitled to notice of, and to attend and to vote at, the Annual Meeting and any adjournments, postponements, continuations or reschedulings thereof, or any other meeting of Stockholders in lieu thereof.

  • Fees Paid to Brokerage Firms: These fees are freely negotiable and depend on the services offered and the size of the offering.

  • Designation of Brokerage Firms and Dealers with whom Designated Officials may deal.

  • The financial statements have been prepared in accordance with International Financial Reporting Standards (IFRS) as adopted by the European Union and the Latvian Financial and Capital Market Commission’s Regulations on the Preparation of Annual Reports and Consolidated Annual Reports of Banks, Investment Brokerage Firms and Investment Management Companies.


More Definitions of Brokerage Firms

Brokerage Firms means any of the following companies and any of their parents, subsidiaries, affiliates, predecessors, successors, officers, directors, employees, agents, partners, and independent contractors, as well as aliases, code names, trade names, or business names used by, or formerly used by, any of the foregoing:
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Brokerage Firms means Keen-Summit Capital Partners LLC, Savills Studley, Inc. and FTI Consulting Realty LLC, in their capacity as real estate broker for the Debtors.
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Related to Brokerage Firms

  • Brokerage means the provision by a third party of services, for a fee, to source Sub-Contractors to provide the Services on behalf of the Provider.

  • 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.

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

  • Funding and Brokerage Fees means, in respect of a Series, all applicable fees other than the Arranger Fees, including, but not limited to, margin interest, securities lending fees, brokerage fees and costs of transaction taxes on the sale or purchase of Reference Assets (where relevant).

  • Advisor or “ADVISORS” means the Person or Persons, if any, appointed, employed or contracted with by the Company pursuant to Section 8.1 hereof and responsible for directing or performing the day-to-day business affairs of the Company, including any Person to whom the Advisor subcontracts all or substantially all of such functions.

  • Brokers and Finders' Fees............................................ 13 2.14

  • Brokerage agreement means a written or oral agreement

  • Commissions means the Alberta Securities Commission and the British Columbia Securities Commission;

  • Banker s acceptance” means a time draft that is drawn on and accepted by a bank and that represents an irrevocable obligation of the bank.

  • Pawnbroker means the same as that term is defined in Section 13-32a-102.

  • Expert Advisor means a mechanical online trading system designed to automate trading activities on an electronic trading platform such as the Company’s Trading Platform. It can be programmed to alert the Client of a trading opportunity and can also trade his Trading Account automatically managing all aspects of trading operations from sending orders directly to the Trading Platform to automatically adjusting stop loss, Trailing Stops and take profit levels.

  • Adviser means a party furnishing services to the Trust pursuant to any contract described in Article IV, Section 7(a) hereof;

  • Selling Firms has the meaning specified in section 5.1;

  • 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.

  • Independent Financial Advisor means an accounting, appraisal, investment banking firm or consultant to Persons engaged in Similar Businesses of nationally recognized standing that is, in the good faith judgment of the Issuer, qualified to perform the task for which it has been engaged.

  • Independent Financial Adviser means an independent financial institution of international repute appointed by the Company at its own expense.

  • Real estate brokerage activity means any activity that involves offering or providing real estate brokerage services to the public, including:

  • Financial Advisor has the meaning set forth in Section 3.6.

  • Financial Adviser means any:

  • Bona fide association means, with respect to health insurance coverage offered in this

  • Firm means Morgan Stanley, MSIM’s parent company.

  • 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.

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

  • Company Financial Advisor has the meaning set forth in Section 3.10.