Executing Dealer definition

Executing Dealer means any dealer who executes transactions entered by another dealer; such dealer need not be registered under Section 517.12, F.S., unless such dealer confirms said transactions directly to Florida resident accounts, and/or maintains responsibility for such accounts as either introducing dealer or carrying dealer.
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Examples of Executing Dealer in a sentence

  • Upon placing an Order with an Executing Dealer (which may or may not be MTC), the Executing Dealer incurs obligations as principal, even though the Contract may have been entered on the Client’s instructions.

  • Upon placing a Order with an Executing Dealer (which may or may not be the Company), the Client acknowledges that the Executing Dealer incurs obligations as principal, even though the Foreign Exchange may have been entered into on the Client’s instructions.

  • In the course of negotiating any such commitment to terms, FX Intermediary has not provided to the Executing Dealer any information regarding bids or offers made by any other Executing Dealer with respect to such trade.

  • Any amendments to a Give-Up Notice with an Executing Dealer, copies of which shall be provided to Customer by Morgan Stanley, may serve to terminate Advisor on behalf of Customex'x xxixxxx xx execute Give-Up Transactions with such Executing Dealer or reduce the volume of Give-Up Transactions permissible under such Give-Up Notice to zero.

  • The Committee undertakes to oversee Executing Dealer Members' fulfillment of their best execution and fair pricing obligations on behalf of TDWCI client orders.

  • Xxxxax Xxxxxey may at any time and in its sole discretion amend the Xxxx-Ux Xxxxxe governing the limits and other parameters with which Advisor on behalf of Customer may execute Give-Up Transactions with any Executing Dealer by notifying Customer and Advisor as soon as reasonably practicable.

  • FX Intermediary has not entered into any agreement or arrangement with any Executing Dealer that allows FX Intermediary to set the terms on which the Executing Dealer will submit a trade notification to a PB;4.

  • Any amendments to a Give-Up Notice with an Executing Dealer, copies of which shall be provided to Customer by Morgxx Xxxnxxx, xxy serve to terminate Advisor on behalf of Customer’s ability to execute Give-Up Transactions with such Executing Dealer or reduce the volume of Give-Up Transactions permissible under such Give-Up Notice to zero.

  • This would be done through the activation of non-discretionary procedures, similar to the AU’s response to unconstitutional changes of government, for adopting and enforcing the Commission’s decisions.

  • Morgxx Xxxnxxx xxx at any time and in its sole discretion amend the Give-Up Notice governing the limits and other parameters with which Advisor on behalf of Customer may execute Give-Up Transactions with any Executing Dealer by notifying Customer and Advisor as soon as reasonably practicable.

Related to Executing Dealer

  • Executing Agency means any public authority, any public or private corporation as well as any organization recognized by the Parties and mandated to implement a specific Project financed under this Agreement;

  • Broker-Dealer Any broker or dealer registered under the Exchange Act.

  • 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;