Intermediary definition

Intermediary means “a person who actively participates in the facilitation of the contract or negotiating the contract, including a broker, adviser, attorney, or representative of or agent for the business entity who:

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Intermediary means a “financial institution” as defined in SEC Rule 22c-2.

Intermediary means a person who:

Examples of Intermediary in a sentence

• Intermediary agrees to provide confirmation as soon as reasonably practicable, but not later than ten business days after the instructions have been executed.

• The Fund agrees not to use the information received for marketing or any other similar purpose without the prior written consent of the Intermediary.

• Intermediary must provide written confirmation to the Fund that instructions from the Fund to restrict or prohibit trading have been executed.

• Intermediary agrees to execute instructions from the Fund to restrict or prohibit trading as soon as reasonably practicable, but not later than five business days after receipt of the instructions by the Intermediary.

• Intermediary agrees to execute written instructions from the Fund to restrict or prohibit further purchases or exchanges of Shares by a Shareholder that has been identified by the Fund as having engaged in transactions of the Fund’s Shares (directly or indirectly through the Intermediary’s account) that violate policies established or utilized by the Fund for the purpose of eliminating or reducing any dilution of the value of the outstanding Shares issued by the Fund.

More Definitions of Intermediary

Intermediary means OpenDeal Portal LLC, a registered securities crowdfunding portal CRD#283874, or a qualified successor.

Intermediary for purposes of this rule, means a person:

Intermediary means a person who: (i) carries on a business which consists of, or includes, the receipt of payments from an investment undertaking on behalf of other persons; or (ii) holds Participating Shares in an investment undertaking on behalf of other persons;

Intermediary means a broker, an agent or any other person, by whatever name called, who arranges or facilitates the supply of goods or services or both, or securities, between two or more persons, but does not include a person who supplies such goods or services or both or securities on his own account;

Intermediary means any entity that in the ordinary course of its business maintains securities accounts for others and is acting in that capacity.

Intermediary means an insurance company separate account.

Intermediary. ’ means a person through whom an interest is acquired, and includes—