Dealer Member definition

Dealer Member means a Member that is registered as an investment dealer or a mutual fund dealer in accordance with securities legislation.
Dealer Member means a Member that is an investment dealer in accordance with securities legislation.
Dealer Member means a Member of the New SRO that is registered as an investment dealer or a mutual fund dealer in accordance with securities legislation.

Examples of Dealer Member in a sentence

  • Dealer Member Rule 16.2 [Dealer Member Filing Requirements]; and2.

  • This settlement is agreed upon in accordance with IIROC Dealer Member Rules 20.35 to 20.40, inclusive and Rule 15 of the Dealer Member Rules of Practice and Procedure.

  • Sections 9.1 and 9.2 do not apply to an inter-dealer bond broker, if the inter-dealer bond broker complies with the requirements of IIROC Rule 2800 Code of Conduct for Corporation Dealer Member Firms Trading in Wholesale Domestic Debt Markets, as amended.

  • Dealer Member Rule 1300.1(a)-(n) [Identity and Creditworthiness];2.

  • Where the collateral is either held by the Dealer Member on a fully segregated basis or held in escrow on its behalf by an Acceptable Depository or a bank or trust company qualifying as either an acceptable institution or acceptable counterparty, only the amount of market value deficiency need be provided out of the Dealer Member’s capital.

  • Dealer Member Rule 400.3B [Termination or Cancellation]section 12.10 [annual financial statements]1.

  • Dealer Member Rule 400.5 [Provisos with respect to Dealer Member Rules 400.2, 400.3 and 400.4]section 12.6 [global bonding or insurance]1.

  • Dealer Member Rule 16.2 [Dealer Member Filing Requirements]subsection 13.2(3) [know your client]1.

  • Dealer Member Rule 100 [Margin Requirements]section 13.13 [disclosure when recommending the use of borrowed money]1.

  • Dealer Member Rule 400.7 [Global Financial Institution Bonds]section 12.7 [notifying the regulator of a change, claim or cancellation]1.


More Definitions of Dealer Member

Dealer Member means a Designated Global Dealer Voting Member, Adhered Global Dealer Voting Member, Global Dealer Voting Member, Designated Global Dealer Consultative Member, Adhered Global Dealer Consultative Member, Global Dealer Consultative Member, Designated Regional Dealer Voting Member, Adhered Regional Dealer Voting Member, Regional Dealer Voting Member, Designated Regional Dealer Consultative Member, Adhered Regional Dealer Consultative Member or Regional Dealer Consultative Member, as applicable.
Dealer Member means a Dealer Member as defined in section 1.1 of Corporation General By-law No. 1 that is not an “alternative trading system” as defined in National Instrument 21-101.(2) Each Dealer Member shall be responsible for and shall guarantee the obligations to clients incurred by each of its related companiesAffiliated Dealer Members, and each related companyAffiliated Dealer Member shall be responsible for and shall guarantee the obligations of the Dealer Member to its clients on the following basis:
Dealer Member means a dealer member of the Association as set forth in Article 2 of Chapter 3 hereof.
Dealer Member means a dealer member of NMEDA who is registered as a business and conducts business in Canada.
Dealer Member means a Member that is an investment dealer in accordance with securities legislation. “Director” means a member of the Board.
Dealer Member means [•], together with its successors and permitted assigns.

Related to Dealer Member

  • Dealer Manager means Realty Capital Securities, LLC, or such other Person selected by the Board of Directors to act as the dealer manager for the Offering.

  • Dealer-operator means the individual who works at the established place of business of a dealer

  • Selling Member has the meaning set forth in Section 10.5(a).

  • Dealer means a dealer who sold a Financed Vehicle and who originated and assigned the respective Receivable to AmeriCredit or an Originating Affiliate under a Dealer Agreement or pursuant to a Dealer Assignment.

  • Founder Member means a subscriber to these rules for the purposes of registration;

  • Dealer Managers shall have the meaning set forth in the preamble.

  • Participating Dealer means any licensed broker or dealer and who has entered into a Participation Agreement in form and substance acceptable to the Manager and the Trustee.

  • Broker-Dealer Subsidiary means any Subsidiary that is registered as a broker-dealer under the Exchange Act or any other applicable law requiring similar registration.

  • Participating Investor any Participating Account, Participating Insurance Company or Participating Plan, including the Account and the Company.

  • FTR Holder means the PJM Member that has acquired and possesses an FTR.

  • Participating member means an eligible employee who elects to participate in the defined contribution retirement plan established under this chapter.

  • Purchasing Member has the meaning set forth in Section 9.2(c).

  • Selling Holder means a Holder who is selling Registrable Securities pursuant to a registration statement.

  • inter-dealer bond broker means a person or company that is approved by the Investment Industry Regulatory Organization of Canada under its Rule No. 36 Inter-Dealer Bond Brokerage Systems, as amended, and is subject to its Rule No. 36 and its Rule 2100 Inter-Dealer Bond Brokerage Systems, as amended from time to time;

  • Eligible Holder means a Limited Partner whose (a) federal income tax status would not, in the determination of the General Partner, have the material adverse effect described in Section 4.9(a)(i) or (b) nationality, citizenship or other related status would not, in the determination of the General Partner, create a substantial risk of cancellation or forfeiture as described in Section 4.9(a)(ii).

  • Non-U.S. Holder means a Holder that is not treated as a United States person for U.S. federal income tax purposes as defined under Section 7701(a)(30) of the Internal Revenue Code of 1986, as amended from time to time.

  • Dealer Recourse means, with respect to a Receivable, all recourse rights against the Dealer which originated the Receivable, and any successor to such Dealer.

  • Other Member means a Voting Member who is not an Eligible Account Holder or a Supplemental Eligible Account Holder.

  • Participating Stockholder means a “Participating Stockholder” under the HBB Stockholders’ Agreement, HY Stockholders’ Agreement and NACCO Stockholders’ Agreement, to the extent the Partnership owns HBB Class B Shares, HY Class B Shares or NACCO Class B Shares. A Partner shall cease to be a Participating Stockholder under this Agreement and shall be deemed to be a Former Partner immediately prior to any event or lapse of time that causes such Partner to no longer be a “Participating Stockholder” under such applicable stockholders’ agreements.

  • or "Holder The Person in whose name a Certificate is registered in the Certificate Register, except that a Disqualified Organization or a Non-United States Person shall not be a Holder of a Residual Certificate for any purposes hereof and, solely for the purposes of giving any consent pursuant to this Agreement, any Certificate registered in the name of the Depositor or the Master Servicer or any Affiliate thereof shall be deemed not to be outstanding and the Voting Rights to which it is entitled shall not be taken into account in determining whether the requisite percentage of Voting Rights necessary to effect any such consent has been obtained, except as otherwise provided in Section 11.01. The Trustee and the NIMS Insurer may conclusively rely upon a certificate of the Depositor or the Master Servicer in determining whether a Certificate is held by an Affiliate thereof. All references herein to "Holders" or "Certificateholders" shall reflect the rights of Certificate Owners as they may indirectly exercise such rights through the Depository and participating members thereof, except as otherwise specified herein; provided, however, that the Trustee and the NIMS Insurer shall be required to recognize as a "Holder" or "Certificateholder" only the Person in whose name a Certificate is registered in the Certificate Register.

  • Ticket Holder means any individual possessing, holding or using a Ticket, including (without limitation) the Ticket Purchaser or any person to whom the Ticket was issued or transferred;

  • Participating Holder means any Holder of Registrable Securities that has returned a completed and signed Notice and Questionnaire to the Company in accordance with Section 2(b) hereof.

  • Broker-Dealer Agreement means this Agreement and any substantially similar agreement between the Auction Agent and a Broker-Dealer.

  • Dealer Agreement means any agreement between a Dealer and AmeriCredit or an Originating Affiliate relating to the acquisition of Receivables from a Dealer by AmeriCredit or an Originating Affiliate.

  • Soliciting Dealers means those broker-dealers that are members of the Financial Industry Regulatory Authority, or that are exempt from broker-dealer registration, and that, in either case, enter into participating broker or other agreements with the Dealer Manager to sell Shares.

  • Designated Holder means the Holder of Note A-1.