Participating Broker-Dealers definition

Participating Broker-Dealers shall have the meaning set forth in Section 4(a) hereof.
Participating Broker-Dealers shall have the meaning set forth in Section 4 hereof.
Participating Broker-Dealers means the Dealer Managers and any other broker-dealer which makes a market in the New MPLX Notes and exchanges Registrable Securities in the Exchange Offer for Exchange Securities.

Examples of Participating Broker-Dealers in a sentence

  • Pursuant to the Broker-Dealer Agreement, Participating Broker-Dealers will render brokerage, custody, and related services to Accounts.

  • Clients will authorize Participating Broker-Dealers as provided in paragraph (b) of this Section 2.5. This Section 2.5 is not intended as a complete summary of any Broker-Dealer Agreement and does not replace or supersede its terms.

  • In offering Offered Shares, the Dealer Manager will comply, and in its agreements with Participating Broker-Dealers, the Dealer Manager will require that the Participating Broker-Dealers comply, with the provisions of the FINRA Rules, as well as all other applicable rules and regulations relating to suitability of investors.

  • The Fund hereby agrees and assumes, or will arrange for a party designated by it to assume, the duty to confirm, on its behalf and on behalf of Participating Broker-Dealers, all orders for purchase of Offered Shares accepted by the Fund.

More Definitions of Participating Broker-Dealers

Participating Broker-Dealers. The term Participating Broker Dealers means broker dealer member firms of the NASD and any related persons which enter into selling agreements with the Partnership.
Participating Broker-Dealers means those broker-dealers that are members of FINRA, registered investment advisors and other entities exempt from broker-dealer registration, that, in each case, enter into participating broker or other selling agreements with the Managing Dealer or Placement Agent, as applicable, to sell Shares.
Participating Broker-Dealers means one or more broker-dealer(s) registered with the SEC under the Securities Exchange Act of 1934 with whom Xxxxxxxx has made arrangement to participate in the Platform and chosen by Xxxxxxxx, with or without the instruction of the Advisor, to provide custody and execution services to Platform Accounts. One Participating Broker-Dealer, Altruist Financial, LLC, an affiliate of Altruist, shall act as an introducing broker for Platform Accounts.
Participating Broker-Dealers shall have the meaning set forth in Section 4.1 hereof.
Participating Broker-Dealers shall have the meaning set forth in Section 4(a).
Participating Broker-Dealers shall have the meaning set forth in Section 4(a) hereof. “Participating Holder” shall mean any Holder of Registrable Securities that has returned a properly completed and signed Notice and Questionnaire to the Company in accordance with Section 2(b) hereof. “Person” shall mean an individual, partnership, limited liability company, corporation, trust or unincorporated organization, or a government or agency or political subdivision thereof. “Prospectus” shall mean the prospectus included in, or, pursuant to the rules and regulations of the Securities Act, deemed a part of, a Registration Statement, including any preliminary prospectus, and any such prospectus as amended or supplemented by any prospectus supplement, including a prospectus supplement with respect to the terms of the offering of any portion of the Registrable Securities covered by a Shelf Registration Statement, and by all other amendments and supplements to such prospectus, and in each case including any document incorporated by reference therein. “Purchase Agreement” shall have the meaning set forth in the preamble. “Registrable Securities” shall mean the Securities; provided that the Securities shall cease to be Registrable Securities (i) when a Registration Statement with respect to such Securities has become effective under the Securities Act and such Securities have been exchanged or disposed of pursuant to such Registration Statement, (ii) when such Securities cease to be outstanding or (iii) except in the case of Securities that otherwise remain Registrable Securities and that are held by an Initial Purchaser and that are
Participating Broker-Dealers has the meaning set forth in Section 4(a) hereof.