registered firm means a registered dealer, registered adviser or registered investment fund manager;
registered firm means a registered dealer, a registered adviser, or a registered investment fund manager; “registered individual” means an individual who is registered
registered firm means a person or company registered under securities legislation as a dealer or adviser;
Examples of registered firm in a sentence
Further documentation may be requested by the Securities Regulatory Authority after receiving the notice from the Registered Firm.
The Registered Firm must notify the Securities Regulatory Authority 10 days before the full or partial repayment of the loan.
The repayment of the loan and all amounts owed thereunder are subordinate to the claims of the other creditors of the Registered Firm.
The repayment of the loan and all amounts owned thereunder are subordinate to the claims of the other creditors of the Registered Firm.
The Registered Firm must notify the Securities Regulatory Authority prior to the full or partial repayment of the loan.
More Definitions of registered firm
registered firm means a registered derivatives firm or a registered securities firm;
registered firm means any firm listed in our register of Registered Firms as defined in our Articles.
registered firm means all Principal Firms, Affiliate Industry Firms, Related Companies, Affiliated Associations, Association Member Firms and Agent Firms, details of which are entered in the Register of Registered Firms.
registered firm means a person or company that is registered as a dealer or adviser;
registered firm means an individual or organization that holds a registration certificate.
registered firm means a person or company that is registered in at least one jurisdiction as an investment dealer, a mutual fund dealer or an unrestricted adviser;
registered firm means a registered derivatives firm or a registered firm, as that term is defined in National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations;