Broker definition

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

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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.

Broker means a person or entity that fills orders by purchasing or receiving supplies from a third party supplier rather than out of its own existing inventory and provides no commercially useful function other than acting as a conduit between his or her supplier and his or her customer.

Examples of Broker in a sentence

Once such determination has been made, the Registrar and Transfer Agent will inform the Broker through which the Unitholder has delivered its Copper Redemption Notice of the amount and brand(s) of Copper and cash that the redeeming Unitholder will receive upon the redemption of the Unitholder’s Units.
If the Registrar and Transfer Agent and the Manager determine that the Copper Redemption Notice does not comply with the applicable requirements, the Registrar and Transfer Agent will provide a notice to such Unitholder’s Broker, explaining the deficiency.
If the Registrar and Transfer Agent and the Manager determine that the Copper Redemption Notice complies with all applicable requirements, the Registrar and Transfer Agent will provide a notice to such redeeming Unitholder’s Broker, who must be a CDS participant, confirming that the Copper Redemption Notice was received and determined to be complete.
If the Registrar and Transfer Agent and the Manager determine that the Copper Redemption Notice complies with all applicable requirements, the Registrar and Transfer Agent will provide a notice to such redeeming Unitholder’s Broker confirming that the Copper Redemption Notice was received and determined to be complete.
Benefits received by the Company shall be deemed to be equal to the total net proceeds from the offering (before deducting expenses) received by it, and benefits received by the Manager shall be deemed to be equal to the Broker Fee applicable to the Shares and paid hereunder as determined by this Agreement.

More Definitions of Broker

Broker means a licensed Georgia real estate broker and the broker’s affiliated licensees. The relationship of the listing Broker and the selling Broker to the Purchaser and Seller is as specified below. Only the part of this Exhibit that is selected is part of the Offer for the purchase and sale of the real property listed above: Listing Broker: {Select A or B below. The section not marked shall not be part of this Exhibit}

Broker dealer," "investment adviser," "national securities exchange," "net assets," "prospectus," "sale," "sell" and "security" shall have the same meaning as such terms have in the 1940 Act, subject to such exemption as may be granted by the Securities and Exchange Commission by any rule, regulation or order. Where the effect of a requirement of the 1940 Act reflected in any provision of this Contract is made less restrictive by a rule, regulation or order of the Securities and Exchange Commission, whether of special or general application, such provision shall be deemed to incorporate the effect of such rule, regulation or order.

Broker means a stock broker as defined in Securities and Exchange Board of India (Stock Brokers) Regulations, 1992.

Broker means a person defined as a broker or dealer under the federal securities laws, but without excluding a bank acting in that capacity.

Broker means a duly licensed electric power supplier that

Broker shall have the meaning ascribed thereto in Section 10.1 hereof.

Broker means any person or entity that fills orders by purchasing or receiving supplies rather than out of its own existing inventory and provides no substantial service other than acting as a conduit between his or her supplier and his or her customer.