Investment Dealer Member definition

Investment Dealer Member means a Dealer Member that is registered as an investment dealer or an investment dealer that it also registered as a mutual fund dealer in accordance with securities legislation;
Sample 1Sample 2Sample 3
Investment Dealer Member means a Dealer Member that is registered as an investment dealer in accordance with securities legislation;
Sample 1Sample 2Sample 3

Examples of Investment Dealer Member in a sentence

  • The carrying dealer is an Investment Dealer Member and the arrangement complies with Rule 1.1.6 (d) and (e).(b) Member Carrying Dealer.

  • The Investment Dealer Member has transferred all customer accounts to another Investment Dealer Member.

  • The Investment Dealer Member has no remaining approved persons other than shareholders, the Ultimate Designated Person, the Chief Compliance Officer and the Chief Financial Officer.

  • Business combinations, such as mergers of Investment Dealer Members, the purchase of an Investment Dealer Member by another Investment Dealer Member, or the purchase of a non-Investment Dealer Member by an Investment Dealer Member are reviewed by CIPF to determine whether or how, in the discretion of CIPF, a New Investment Dealer Member Assessment is levied.

  • Where sufficient data is not available to determine the PD of a new Investment Dealer Member, the median of all Investment Dealer Members is used.

  • The New Investment Dealer Member Assessment is equal to the Investment Dealer Quarterly Assessment and is paid for three years (36 months).

  • An Asset Location Assessment may be levied in those instances where an Investment Dealer Member is determined to have a high degree of Asset Location Risk as determined by the Investment Dealer Member specific EaD calculated using CIPF’s Investment Dealer Fund Liquidity Resource Requirement model (EaD(calculated)).

  • The final New Investment Dealer Member Assessment is prorated so that it ends on the three-year anniversary of membership in the Investment Dealer Fund.

  • The minimum Quarterly Investment Dealer Assessment is $1,250, except for Investment Dealer Members that have entered into a Type 1 Introducing Agreement with another Investment Dealer Member, in which case the minimum Quarterly Investment Dealer Assessment is $125.

  • The New Investment Dealer Member Assessment is prorated for the number of days of membership in the Investment Dealer Fund in the first quarter.

Related to Investment Dealer Member

  • investment dealer means a person or company registered in the category of investment dealer;

  • 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.

  • Grain dealer means a person engaged in the business of receiving, buying, exchanging, selling, or storing farm produce in this state. The term includes a farm produce trucker, grain merchandiser, or processor. The term does not include a person solely engaged in 1 of the following:

  • Wholesale dealer means any dealer who deals in, or who holds a licence under any law to deal in, as the case may be, wholesale quantities of goods, and the business and stock of a wholesale dealer shall be deemed to include the business and stocks of any retail dealer who conducts business on the same premises on which the wholesale dealer conducts his or her business; and

  • Investment Person means all Portfolio Managers of Loomis Sayles and other Advisory Persons who assist the Portfolio Managers in making and implementing investment decisions for an Investment Company or other client of Loomis Sayles, including, but not limited to, designated Research Analysts and traders of Loomis Sayles. A person is considered an Investment Person only as to those client accounts or types of client accounts as to which he or she is designated by Personal Trading Compliance or the Chief Compliance Officer as such. As to other accounts, he or she is simply an Access Person.

  • 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;

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

  • Eligible Dealer means any corporation or other entity having as a principal business acting as a broker or dealer in securities.

  • Dealer Manager Fee means the fee from the sale of Shares in a Primary Offering, payable to the Dealer Manager for serving as the dealer manager of such Primary Offering.

  • 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.

  • 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.

  • Vehicle dealer means a person engaged in the business of buying, selling, or exchanging a vehicle as defined in Subsection (138).

  • Dealer Manager Agreement shall have the meaning set forth in the preamble.

  • Investment Advisor means, in relation to a Portfolio, the investment manager or investment advisor of the Portfolio.

  • 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.

  • 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;

  • portfolio adviser means a person or company that provides investment advice or portfolio management services under a contract with the investment fund or with the manager of the investment fund;

  • Investment Adviser or "Adviser" means a party furnishing services to the Trust pursuant to any contract described in Article IV, Section 7(a) hereof;

  • Private Investment means a securities offering that is exempt from registration under certain provisions of the U.S. securities laws and/or similar laws of non-U.S. jurisdictions. It includes investments in hedge funds, private equity funds, limited partnerships, real estate, peer to peer lending clubs and private businesses.

  • Investor is defined in the preamble to this Agreement.

  • Selling Agent Morgan Stanley & Co.

  • Qualified Purchaser has the meaning assigned to such term in Section 12.06(e).

  • Investment Entity means any Entity that conducts as a business (or is managed by an entity that conducts as a business) one or more of the following activities or operations for or on behalf of a customer:

  • Purchasing Manager means the person duly authorized to enter into and administer Contracts and make written determinations with respect to the Contract or his or her designee.

  • Approved Underwriter has the meaning set forth in Section 3(f) of this Agreement.

  • Investment Client means (i) any investment company registered as such under the Investment Company Act, any series thereof, or any component of such series for which the Adviser acts as investment adviser; or (ii) any private account for which the Adviser acts as investment adviser.