BROKERS OR DEALERS. The Adviser may, to the extent permitted by law, including but not limited to Section 28(e) of the Securities Exchange Act of 1934 (the "Exchange Act"), pay a broker or dealer who provides research services to the Adviser a commission for executing a portfolio transaction in excess of the amount of commission another broker or dealer would have charged for effecting such transaction if the Adviser determines in good faith that the excess commission is reasonable in relation to the value of the brokerage and research services provided by such broker or dealer viewed in terms of the particular transaction or the Adviser's overall responsibilities with respect to the discretionary accounts that it manages. The Adviser shall render a written report to the Board, at least quarterly, regarding overall commissions paid by the Fund and their reasonableness in relation to their benefits to the Fund in accordance with Section 3(e) of this Agreement.
BROKERS OR DEALERS. A broker ordealer to publish any quotation for a security or, directly or indirectly, to submit any such quotation forrulemaking in accordance with the RFA. Those definitions, as relevant to this proposed rulemaking, are set forth in Exchange Act Rule 0–10 (‘‘Rule 0– 10’’). Rule 0–10 also provides that the Commission may, if warranted by the circumstances, use a different definition for particular rulemakings.779 5 U.S.C. 603(a).780 5 U.S.C. 551 et seq.781 5 U.S.C. 605(b).782 Rule 0–10(c).783 See Proposing Release at 58262.784 The Commission received one comment that mentioned the Regulatory Flexibility Act in relation to other market participants. See Virtu Letter, at 8. The costs and benefits of the amended Rule with respect to other market participants are considered in the Economic Analysis section. See supra Part VI.785 See supra Parts V.B, VI.B.publication, in any quotation medium, unless:


  • Brokers Except pursuant to this Agreement, there is no broker, finder or other party that is entitled to receive from the Company any brokerage or finder’s fee or other fee or commission as a result of any transactions contemplated by this Agreement.

  • Brokers or Finders The Company has not incurred, and will not incur, directly or indirectly, as a result of any action taken by the Company, any liability for brokerage or finders’ fees or agents’ commissions or any similar charges in connection with this Agreement or any of the transactions contemplated hereby.

  • Finders and Brokers Buyer has not employed any financial advisor, broker or finder or incurred any liability for any financial advisory, brokerage, finder's or similar fee or commission in connection with the transactions contemplated by this Agreement for which Seller could be liable.