Restricted Broker-Dealer definition

Restricted Broker-Dealer. Any Broker-Dealer which holds Broker-Dealer Transfer Restricted Securities.

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Restricted Broker-Dealer has the meaning set forth in the Registration Rights Agreement.

Restricted Broker-Dealer. Any Broker-Dealer that holds Series B Notes that were acquired in the Exchange Offer in exchange for Series A Notes that such Broker-Dealer acquired for its own account as a result of market making activities or other trading activities (other than Series A Notes acquired directly from the Company or any of its affiliates).

Examples of Restricted Broker-Dealer in a sentence

The Company and the Guarantors acknowledge that any Restricted Broker-Dealer holding Broker-Dealer Transfer Restricted Securities may not resell such Broker-Dealer Transfer Restricted Securities without delivering a Prospectus.
A Restricted Broker-Dealer is deemed to be a holder of Broker-Dealer Transfer Restricted Securities (each, a "Holder") whenever such Restricted Broker-Dealer owns Broker-Dealer Transfer Restricted Securities.
The Company shall use all commercially reasonable efforts to deliver Market-Maker Prospectuses to all Restricted Broker-Dealers immediately upon the effectiveness of the Registration Statement and from time to time thereafter upon request, in such quantities as such Restricted Broker-Dealer shall require.
The Company acknowledges that any Restricted Broker-Dealer holding Broker-Dealer Transfer Restricted Securities may not resell such Broker-Dealer Transfer Restricted Securities without delivering a Prospectus.
The Company and Guarantors shall use their best efforts to deliver Market-Maker Prospectuses to all Restricted Broker-Dealers immediately upon the effectiveness of the Registration Statement and from time to time thereafter, during the period the Registration Statement is required to be effective hereunder, upon request, in such quantities as such Restricted Broker-Dealer shall require.

More Definitions of Restricted Broker-Dealer

Restricted Broker-Dealer. Any Broker-Dealer which holds Broker-Dealer Transfer Restricted Senior Notes.

Restricted Broker-Dealer. Any Broker-Dealer that holds Exchange Notes that were acquired in the Exchange Offer in exchange for Notes that such Broker-Dealer acquired for its own account as a result of market making activities or other trading activities (other than Notes acquired directly from the Company or any of its affiliates).

Restricted Broker-Dealer. Any Broker-Dealer that holds Series B Notes that were acquired in the Exchange Offer in exchange for Series A Notes that such Broker-Dealer acquired for its own account as a result of market-making activities or other trading activities (other than Series A Notes acquired directly from the Company or any of its affiliates).

Restricted Broker-Dealer means a Broker-Dealer (as defined in the Registration Rights Agreement) engaged in activities contemplated by Section 3(c) of the Registration Rights Agreement.

Restricted Broker-Dealer. Any Broker-Dealer which holds Broker-Dealer Transfer Restricted Securities. Securities Act: The Securities Act of 1933, as amended, and the rules and regulations promulgated thereunder.

Restricted Broker-Dealer. Any Broker-Dealer which holds Broker-Dealer ------------------------ Transfer Restricted Notes.

Restricted Broker-Dealer means any of the following: (i) any Person set forth on Schedule C hereto for so long as such Person is one of the top 25 (based on gross sales for all Hartford Funds using the most recently available reliable sales data) broker-dealers that has a written selling agreement with respect to Hartford Funds; (ii) any Person that, after the date hereof, becomes one of the top 25 (based on gross sales for all Hartford Funds using the most recently available reliable sales data) broker-dealers with a written selling agreement with respect to Hartford Funds; or (iii) any Person set forth on Schedule C by mutual agreement of Hartford and Wellington. Notwithstanding the foregoing clause (ii), no Person with whom Wellington is in active discussions with regarding a subadvisory engagement shall be a Restricted Broker-Dealer to the extent that such Person is not set forth on Schedule C in effect as of the date of the commencement of such discussions.