Introducing Broker definition

Introducing Broker means any financial institution or advisor or legal or natural person obtaining remuneration from the Company and/or Clients for introducing Clients/interested parties to the Company.
Introducing Broker means a third party who introduces prospective Clients to the Company.
Introducing Broker means any financial institution or advisor or legal or natural person obtaining remuneration from the Company and/or Clients for introducing Clients to the Company;

Examples of Introducing Broker in a sentence

  • I understand that Axos Clearing carries My account(s) as clearing broker pursuant to a carrying agreement, also referred to as a clearing agreement, between My Introducing Broker Dealer and Axos Clearing, and that Axos Clearing will clear all transactions under this Agreement pursuant to that carrying or clearing agreement.

  • Axos Clearing shall look solely to My Introducing Broker Dealer unless otherwise directed by My Introducing Broker Dealer, and not to Me with respect to any such orders or instructions.

  • I understand that Axos Clearing will deliver confirmations, statements, and margin maintenance calls if applicable, with respect to My account directly to Me with copies to My Introducing Broker Dealer, and that Axos Clearing will look directly to Me or My Introducing Broker Dealer for delivery of margin, payment, or securities.

  • I further understand that transactions may be executed by other broker-dealers, including My Introducing Broker Dealer as principal.

  • If My account has been introduced to Axos Clearing and is carried by Axos Clearing acting solely as a “clearing broker,” I agree that Axos Clearing is only responsible for the execution, clearing and bookkeeping of transactions made and is not otherwise responsible for the conduct of My Introducing Broker Dealer.


More Definitions of Introducing Broker

Introducing Broker means anybrokerage firm which introduces security transactions on behalf of the undersigned, which transactions are cleared through Apex, whether one or more. “Obligations” means all indebtedness, debit balances, liabilities or other obligation of any kind of the undersigned to Apex, whether now existing or hereafter arising. “Options” means all types of options, including puts, calls, equity, debt, index or otherwise. “Securities and other property” shall include, but shall not be limited to money, securities, commodities or other property of everykind and nature and all contracts and options relating thereto, whether for present or future delivery. “Apex” refers to Apex Clearing Corporation.
Introducing Broker means a financial institution or advisor which is remunerated by the Bank and/or clients for referral of clients to the Bank and/or for provision of advice to such Clients and/or execution of such Clients’ transactions towards the Bank;
Introducing Broker means persons within the meaning set forth in Section 1a(31) of the CEA and within the definition of ‘foreign broker’ set forth in 17 C.F.R. 1.3(xx).
Introducing Broker means any brokerage firm, which introduces securities transactions on behalf of the Customer, which transactions are cleared through you, whether one or more. “Obligations” means all indebtedness, debit balances, liabilities or other obligations of any kind of the Customer to you, whether now existing or hereafter arising. “Securities and other property” shall include, but shall not be limited to, money, securities, commodities or other property of every kind and nature and all contracts and options relating thereto, whether for present or future delivery. “You”, “your” or “Apex” refers to Apex Clearing Corporation. “Customer” refers to the party or parties signing this agreement.
Introducing Broker means any per- son registered or required to be reg- istered as an introducing broker with the Commission under the Commodity Exchange Act (7 U.S.C. 1 et seq.), except persons who register pursuant to Sec- tion 4f(a)(2) of the Commodity Ex- change Act (7 U.S.C. 6f(a)(2)).
Introducing Broker means a financial institution or advisor which is remunerated by Aglobe Investments Ltd and/or clients for referral of clients to Aglobe Investments Ltd and/or for provision of advice to such Clients and/or execution of such Clients` transactions towards Aglobe Investments Ltd ;
Introducing Broker means a financial institution or advisor which is remunerated by Tickmill Ltd and/or clients for referral of clients to Tickmill Ltd and/or for provision of advice to such Clients and/or execution of such Clients' transactions towards Tickmill Ltd;