NASD Dealer definition

NASD Dealer means broker-dealer that is a member of the National Association of Securities Dealers, Inc.
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Examples of NASD Dealer in a sentence

  • NASD Dealer" means a broker-dealer that is a member of the National Association of Securities Dealers, Inc.

  • Provided that the notice of exercise and payment are in form and substance satisfactory to counsel for the Company, as soon as practicable after the effective exercise of all or any part of the Option, Optionee shall be recorded on the stock transfer books of the Company as the owner of the Shares purchased, and the Company shall deliver to Optionee, or to the NASD Dealer, as the case may be, one or more duly issued stock certificates evidencing such ownership.

  • Optionee shall pay all other costs of the Company incurred to issue such Shares to such NASD Dealer.

  • Shares purchased pursuant to exercise hereunder: (i) may be deposited with a NASD Dealer designated by Optionee, in street name, if so provided in such exercise notice accompanied by all applications and forms reasonably required by the Administrator to effect such deposit, or (ii) may be issued to Optionee and such other person, as joint owners with the right of survivorship, as is specifically described in such exercise notice.

  • NASD Dealer" means a broker-dealer that is a member of ----------- the National Association of Securities Dealers, Inc.

  • The Holder and the NASD Dealer shall irrevocably commit upon sale of such Warrant Shares to forward the Exercise Price Multiple directly to the Company.

  • Shares purchased pursuant to exercise hereunder: (i) may be deposited with a NASD Dealer designated by Optionee, in street name, if so provided in such exercise notice accompanied by all applications and forms reasonably required by the Committee to effect such deposit, or (ii) may be issued to Optionee and such other person, as joint owners with the right of survivorship, as is specifically described in such exercise notice.

  • Payment of the Exercise Price for the Shares may be made in cash (by check) and/or, if a public market exists for the Company’s Common Stock, by means of a Same-Day-Sale Commitment or Margin Commitment from you and an NASD Dealer (as described in Section 11.1 of the Plan).

  • The Company hereby agrees to permit a “same day sale” sufficient to enable the NASD Dealer to pay the Company the Exercise Price for the Shares.

  • Payment of the Exercise Price for the Shares may be made in cash (by check) and/or, for so long as a public market exists for the Company’s Common Stock, by means of a Same-Day-Sale Commitment or Margin Commitment from you and an NASD Dealer (as described in Section 11.1 of the Plan).

Related to NASD Dealer

  • 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.

  • Renminbi Dealer means an independent foreign exchange dealer of international repute active in the Renminbi exchange market in Hong Kong reasonably selected by the Issuer.

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

  • Relevant Dealer means, in respect of any Variable Rate Note, the Dealer party to the Programme Agreement referred to in the Agency Agreement with whom the Issuer has concluded or is negotiating an agreement for the issue of such Variable Rate Note pursuant to the Programme Agreement;

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

  • 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

  • Scrap metal dealer means a person or governmental unit that buys scrap metal and is not a first purchaser. The term includes, but is not limited to, a person, whether or not licensed under state law or local ordinance, that operates a business as a scrap metal recycler, scrap processor, secondhand and junk dealer, or other person that purchases any amount of scrap metal on a regular, sporadic, or 1-time basis.

  • 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:

  • 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.

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

  • securities dealer means a person or entity that is authorized under provincial legislation to engage in the business of dealing in securities or any other financial instruments or to provide portfolio management or investment advising services.

  • Authorised Dealer means a person authorised as an authorised dealer under subsection (1) of Section 10 of the Act ;

  • Approved Dealer means (a) in the case of any Portfolio Investment that is not a U.S. Government Security, a bank or a broker-dealer registered under the Securities Exchange Act of 1934 of nationally recognized standing or an Affiliate thereof, (b) in the case of a U.S. Government Security, any primary dealer in U.S. Government Securities, and (c) in the case of any foreign Portfolio Investment, any foreign broker-dealer of internationally recognized standing or an Affiliate thereof, in the case of each of clauses (a), (b) and (c) above, as set forth on Schedule 1.01(a) or any other bank or broker-dealer acceptable to the Administrative Agent in its reasonable determination.

  • 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.

  • Secondhand dealer means a person who carries on the business of retailing or wholesaling used or secondhand property, including collectibles, or who operates a secondhand dealers’ premises, except for a person who carries on the business of retailing or wholesaling used property limited to:

  • soliciting dealer means a person whose interest in a distribution of rights is limited to soliciting the exercise of the rights by holders of those rights;

  • Manufactured home dealer means any person, firm or

  • managing dealer means a person that has entered into an agreement with an issuer under which the person has agreed to organize and participate in the solicitation of the exercise of the rights issued by the issuer;

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

  • NASD Rules means the Rules of the National Association of Securities Dealers, Inc., as amended from time to time.

  • Selected Dealer shall have the same meaning in this Agreement as in the Distribution Agreement. As principal, we offer to sell shares to you, as a Selected Dealer, upon the following terms and conditions:

  • Commodity Broker means any person who engages in the business of effecting transactions in Commodity Contracts for the account of others or for his or her own account.

  • 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 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.

  • Exchanging Dealer means any Holder (which may include any Initial Purchaser) that is a Broker-Dealer and elects to exchange for New Securities any Securities that it acquired for its own account as a result of market-making activities or other trading activities (but not directly from the Company or any Affiliate of the Company) for New Securities.

  • Purchase or Sale of a Security means obtaining or disposing of "Beneficial Ownership" of that Security and includes, among other things, the writing of an option to purchase or sell a Security.