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
Sample 1Sample 2
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.
Sample 1
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.
Sample 1

Examples of Brokerage Firms in a sentence

  • A list of Authorized Brokerage Firms, which is subject to change from time to time, is included in Appendix A.

  • The Global CCO may amend the list of Authorized Brokerage Firms from time to time.

  • The Policy requires that all personal securities accounts be maintained at an "Approved Brokerage Firm." The Compliance Department has established procedures that have allowed the designation of the majority of Broker/Dealers as "Approved Brokerage Firms," the main requirement being the Carrying Broker/Dealer's ability to deliver confirmations of transactions electronically to the DBS Compliance Control Group ("Control Group").

  • 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.

  • Authorized Brokerage Firms – U.S. Employees and U.S. Persons Subject to the Code You are required to maintain your Covered Account(s) with an Authorized Brokerage Firm.

  • The actions to be followed by the Brokerage Firms will be informed through the IT conference bridge.

  • 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.

  • Pearce and others (1996) established the first procedures to assess economic impacts of climate change using the direct cost method considering the physical impacts of climate change.


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:
Sample 1
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

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 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.

  • 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 Commissions with Jurisdiction over the Issuer (as defined on page 4) and the securities commissions incorporated in the definition of this term in other parts of the Subscription Agreement;

  • 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;

  • Adviser/Subadviser means the Adviser or a Subadviser, if any, of the Fund or both as the context may require.

  • 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.

  • investment dealer means a person or company registered in the category of investment dealer;

  • 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.

  • Adviser/Subadviser means the Adviser or a Subadviser, if any, of the Fund or both as the context may require.

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