Dealer in securities definition

Dealer in securities means a merchant of stock or securities, whether an individual partnership or corporation, with an established place of business, regularly engaged in the purchase of securities and their resale to customers, that is, one who as a merchant buys securities and sells them to customers with a view to the gains and profits that may be derived therefrom.
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Dealer in securities means an investment firm or credit institution participating in the marketing of securities;
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Dealer in securities means a person dealing in securities within the meaning given by section 4 of the Insider Dealing Act 1998;
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Examples of Dealer in securities in a sentence

  • The assets of the Plan will be invested and reinvested from time to time according to your investment instructions or those of a Dealer in securities of mutual funds managed by Mackenzie or such other investment as we may permit from time to time.

  • The assets of your Plan will be invested and reinvested from time to time according to your investment instructions or those of a Dealer in securities of mutual funds managed by Mackenzie Financial Corporation (the “Administrator”) or such other investment as we may permit from time to time.

  • YIELD Indication of yield: [●]]TAXATION The following summary does not purport to be a comprehensive description of all the tax considerations that may be relevant to a decision to acquire, hold or dispose of the Notes, and does not purport to deal with the tax consequences applicable to all categories of investors, some of whom (such as Dealer in securities) may be subject to special rules.

  • In 2010, in the competition for the Dealer in securities organized by the Minister of Finance assessing the activity of banks on the interest rate market, PKO BP SA ranked 1st.

  • The Broker Dealer shall also include in its notice to the Commission the measures it will adopt to comply with the net capital requirement of whichever is higher between Five Million Pesos (P5,000,000.00) or five percent (5%) of aggregate indebtedness (for Broker Dealer in securities) or Two Million Five Hundred Thousand Pesos (P2,500.000.00) and two and one-half percent (2.5%)of aggregated indebtedness (for broker dealer in proprietary shares having no custody of the shares), whichever is higher.

  • Any money, property or other thing of value utilized by the applicant in order to com- ply with the bonding requirements of A.R.S. § 44-1943, relat- ing to registration as a Dealer in securities, shall be excluded from the computation of net worth.

  • F o r t h e p ur poses of t h is sec t io n , t h e t e r m secu- rit y m e an s any s har e of s t oc k i n any co r po ra t io n , any ce r t ific a t e of s t oc k o r i n t e r es t i n any co r po ra t io n , any n o t e, bo n d, debe n t ur e, o r o t h e r evide n ce of i n deb t ed n ess, o r any evide n ce of anyi n t e r es t i n , o r r ig h t t o s u bsc r ibe t o o r p ur c ha se, any of t h e fo r egoi n g.(2) Dealer in securities.

  • F o r t h e p ur poses of t h is sec t io n , t h e t e r m secu- rit y m e an s any s har e of s t oc k i n any co r po ra t io n , any ce r t ific a t e of s t oc k o r i n t e r es t i n any co r po ra t io n , any n o t e, bo n d, debe n t ur e, o r o t h e r evide n ce of Internal Revenue Service, Treasury § 1.1237–1 i n deb t ed n ess, o r any evide n ce of any i n t e r es t i n , o r r ig h t t o s u bsc r ibe t o o r p ur c ha se, any of t h e fo r egoi n g.(2) Dealer in securities.

  • Any money, property or other thing of value utilized by the applicant in order to comply with the bonding requirements of A.R.S. § 44-1943, relating to registration as a Dealer in securities, shall be excluded from the computation of net worth.

  • A Dealing Member has been defined under Rule 169(ix) as “a Member company who has been granted license by The Exchange as a Dealer in securities hereinafter referred to as Member”.


More Definitions of Dealer in securities

Dealer in securities. - means a merchant of stocks or securitiel_, whether an individL1.al, partnership or corporation, with an established place of business, regularl,y engaged in the business of buying and selling securities for his o0 n account, through a broker
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Dealer in securities means a merchant of stocks or securities, whether an individual, partnership or corporation, with an established place of business, regularly engaged in the purchase of securities and the resale thereof to customers; that is one, who as merchant buys securities and re-sells them to customers with a view to the gains and profits that may be derived therefrom. “Dealer in securities” means any person who buys and sells securities for his/her own account in the ordinary course of business (Sec. 3.4, SRC).
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Related to Dealer in securities

  • Trading in Securities means and includes an act of subscribing to, buying, selling, dealing or agreeing to subscribe to, buy, sell or deal in any Securities of the Company and “trade” shall be construed accordingly.

  • Dealing in Securities means an act of subscribing to, buying, selling or agreeing to subscribe to, buy, sell or deal in the securities of the Company either as principal or agent.

  • NIM Securities Any debt securities secured or otherwise backed by some or all of the Class X and Class P Certificates that are rated by one or more Rating Agencies.

  • Specified Securities means ‘equity shares’ and ‘convertible securities’ as defined under clause (zj) of sub-regulation (1) of regulation 2 of the Securities and Exchange Board of India (Issue of Capital and Disclosure Requirements) Regulations, 2009;

  • Underwritten Securities shall include the Initial Underwritten Securities and all or any portion of the Option Securities agreed to be purchased by the Underwriters as provided herein, if any. The Terms Agreement, which shall be substantially in the form of Exhibit A hereto, may take the form of an exchange of any standard form of written telecommunication between you and the Company. Each offering of Underwritten Securities through you or through an underwriting syndicate managed by you will be governed by this Agreement, as supplemented by the applicable Terms Agreement.

  • Foreign Securities include: securities issued and sold primarily outside the United States by a foreign government, a national of any foreign country or a corporation or other organization incorporated or organized under the laws of any foreign country and securities issued or guaranteed by the government of the United States or by any state or any political subdivision thereof or by any agency thereof or by any entity organized under the laws of the United States or of any state thereof which have been issued and sold primarily outside the United States.

  • Related Securities means any options or warrants or other rights to acquire Shares or any securities exchangeable or exercisable for or convertible into Shares, or to acquire other securities or rights ultimately exchangeable or exercisable for or convertible into Shares.

  • Exempted Securities means:

  • Refused Securities has the meaning ascribed to such term in Section 4.1(c)

  • Portfolio Securities or "investments" of the Series shall mean, respectively, such assets, net assets, securities, portfolio securities or investments which are from time to time under the management of the Subadviser pursuant to this Agreement.

  • Listed Securities means any Shares, Share Options, stock, debentures, debenture stock or other securities for the time being issued by the Company and officially quoted by ASX;

  • Investor Securities is defined in Section 2.1.

  • Designated Securities means securities issued by an Insured, or by any Affiliated Entity, or by any Fund to which such Insured or any Affiliated Entity provides any services.

  • Qualified Securities means securities of a reporting issuer that carry the right to participate in voting on the appointment or removal of the reporting issuer’s auditor;

  • Investor Registrable Securities means (i) any Common Equity held (directly or indirectly) by an Investor or any of its Affiliates, and (ii) any equity securities of the Company or any Subsidiary issued or issuable with respect to the securities referred to in clause (i) above by way of dividend, distribution, split or combination of securities, or any recapitalization, merger, consolidation or other reorganization.

  • Liquid Securities means securities that are publicly traded on the New York Stock Exchange, NYSE MKT, the Nasdaq Stock Market or any other regulated stock exchange in the United States, Canada, Europe or Australia (or any of their successors) and as to which the Company is not subject to any restrictions on sale or transfer (including any volume restrictions under Rule 144 under the Securities Act or any other restrictions imposed by the Securities Act) or as to which a registration statement under the Securities Act covering the resale thereof is in effect for as long as the securities are held; provided that securities meeting such requirements shall be treated as Liquid Securities from the date of receipt thereof until and only until the earlier of (a) the date on which such securities are sold or exchanged for cash or Cash Equivalents and (b) 180 days following the date of receipt of such securities. If such securities are not sold or exchanged for cash or Cash Equivalents within 180 days of receipt thereof, for purposes of determining whether the transaction pursuant to which the Company or a Restricted Subsidiary received the securities was in compliance with Section 4.12, such securities shall be deemed not to have been Liquid Securities at any time.

  • Asset-Backed Securities means securities which:

  • ETP Securities means the Series of ETP Securities to which these Conditions relates or, as the context may require, any or all securities issued by the Issuer under the Programme.

  • Additional Purchased Securities Securities provided by Seller to Buyer pursuant to Paragraph 4(a) hereof;

  • Exchanging Dealer means any Holder (which may include any Initial Purchaser) that is a Broker-Dealer and elects to exchange for New Securities any Securities that it acquired for its own account as a result of market-making activities or other trading activities (but not directly from the Company or any Affiliate of the Company) for New Securities.

  • Rated Securities means each Class of Securities that has been rated by one or both Rating Agencies at the request of the Seller.

  • Offeror’s Securities means Voting Shares Beneficially Owned by an Offeror on the date of the Offer to Acquire;

  • Lock-Up Securities has the meaning assigned to such term in Section 3.5.

  • Real Estate-Related Securities shall have the meaning set forth in the Charter.

  • Purchaser Securities means the Purchaser Units, the Purchaser Common Stock, the Purchaser Preferred Stock and the Purchaser Warrants, collectively.

  • Underwriters' Securities means the Offered Securities other than Contract Securities.