Branch broker definition

Branch broker means an associate broker who manages a branch office under the supervision of the principal broker.
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Branch broker means an individual who has a broker's license and who has been designated to supervise a branch office and the activities of salespersons and associate brokers assigned to the branch office.
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Branch broker means an associate broker who manages a principal broker's
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Examples of Branch broker in a sentence

  • Branch broker" meansan individual who has a broker's license and a broker licensee who has been designated to supervise a branch office and the activities of salespersons and associate brokers assigned to the branch office.

  • Branch broker'' means an individual who has a broker's license and who has been designated to supervise a branch office and the activ- ities of salespersons and associate brokers assigned to the branch office.

  • Defendant:Wang ○○ A Song Shan branch office’s customer made a criminal and civil claim in September 2011 against The Company's former Song Shan Branch broker, that the broker had misappropriated the customer's shareholding and funds since December 2011.

  • Branch broker" means an associate broker who manages a branch office under the supervision of the principal broker.

  • Penalty Notice 0970040209 issued by the Financial Supervisory Commission, Executive Yuan on 2008.09.12 read: Daan Branch broker did not comply with The Company’s internal control policies while taking consigned orders from futures trading customers, to the extent that violated Section 9-2 of the ”Regulations Governing the Operation of Futures Introducing Broker Business by Securities Firms ”.


More Definitions of Branch broker

Branch broker meansan individual who has a broker's license a licensee and who
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Related to Branch broker

  • Associate broker means a licensed broker who is employed by

  • 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.

  • Mortgage broker means any person who for compensation or

  • Broker investment adviser," "net assets," "sale," "sell" and "security" shall have the same meanings as such terms have in the 1940 Act, subject to such exemption as may be granted by the SEC by any rule, regulation or order. Where the effect of a requirement of the federal securities laws reflected in any provision of this Agreement is made less restrictive by a rule, regulation or order of the SEC, whether of special or general application, such provision shall be deemed to incorporate the effect of such rule, regulation or order. This Agreement may be signed in counterpart.

  • 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.