Retail Broker definition

Retail Broker means a person which is licensed as either a dealer, broker or adviser under the Act and the business of which is predominantly the provision of services to retail investors within the meaning of the Act;
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Retail Broker means any retail broker or other Person acting on behalf of a customer to obtain an insurance policy or other product from or through a Wholesale Brokerage Business, Underwriting Business or Carrier.
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Retail Broker means any person engaged in the business of selling or offering for
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Examples of Retail Broker in a sentence

  • Applicant agrees to pay the premium, PGMF, other fees (if applicable), State or Federal taxes and/or surcharges (if applicable) to its Retail Broker.

  • They are all being used at this time and there is no H unused irradiation space at this time.

  • Applicant authorizes its Retail Broker to act as its insurance broker for the purposes of purchasing and maintaining insurance.

  • With regards the Insurance Programs, Applicant’s Retail Broker does not have the authority to quote or bind coverage.

  • PG believes that, in the instances where Applicant’s Retail Broker is not receiving commission, a broker fee of between 10% - 20% of the Quote, is ordinary, appropriate, and reasonable.

  • Upon payment of all premiums, fees, taxes, and surcharges due, the relevant MGU shall send Applicant, via Applicant’s Retail Broker, a policy or EOI.

  • In most instances Applicant’s Retail Broker receives no compensation for its services from a Selected Carrier or an MGU in the Insurance Programs.

  • The decision to appoint a Retail Broker shall remain exclusively with the applicable MGU.

  • With regards the purchase and maintenance of insurance, Applicant agrees that the acts of its Retail Broker shall be deemed to be the acts of the Applicant.

  • Applicant’s Retail Broker may not hold itself out, nor convey to anyone by any means, nor allude to the fact that it is an agent or employee of an MGU or a Selected Carrier.

Related to Retail Broker

  • Data Broker means either of the following:

  • Prime Broker means a Person that acts as credit counterparty for transactions executed on the SEF in the name and on behalf of such Person by its client or an agent of its client that is a BSEF Participant and that has authorized a Participant to send RFQs, place Orders or enter into Trades in the name and on behalf of such Person.

  • Seller’s Broker means CB Xxxxxxx Xxxxx.

  • Customs Broker means that individual, partnership, entity or corporation licensed by the Canada Border Services Agency, or other authorized body, to engage in the business of a customs broker and who is named as the Customs Broker in the Agency Agreement and Power of Attorney.

  • 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.

  • Principal broker means a broker who is either a real estate proprietor, a partner in a real estate partnership, or an officer in a real estate corporation.

  • Real estate broker means an individual or business entity that, with intent to collect or receive a fee, compensation, or valuable consideration, sells or offers for sale, buys or offers to buy, provides or offers to provide market analyses of, lists or offers or attempts to list, or negotiates the purchase, sale, or exchange of real estate; that negotiates the mortgage of real estate; that negotiates for the construction of a building on real estate; that leases or offers or rents or offers for rent real estate or the improvements on the real estate for others, as a whole or partial vocation; that engages in property management as a whole or partial vocation; that sells or offers for sale, buys or offers to buy, leases or offers to lease, or negotiates the purchase or sale or exchange of a business, business opportunity, or the goodwill of an existing business for others; or that, as owner or otherwise, engages in the sale of real estate as a principal vocation.

  • Associate broker means a licensed broker who is employed by

  • REAL ESTATE BROKERS The following real estate brokers (collectively, the "Brokers") and brokerage relationships exist in this transaction and are consented to by the Parties (check applicable boxes): Xxxxxx Xxxx, Inc. represents [_] Lessor exclusively ("Lessor's Broker"); |X| both Lessor and Lessee, and _____________________________________________________________________ represents [_] Lessee exclusively ("Lessee's Broker"); |_| both Lessee and Lessor. (See Paragraph 15 for further provisions.)

  • Insurance broker means an insurance brokerage firm,

  • Tenant’s Broker means the individual or corporate broker identified on the Basic Lease Information sheet as the broker for Tenant.

  • Salesperson means any person holding an Iowa real estate salesperson license as defined in Iowa Code section 543B.5(19).

  • Customs Broker Agreement means a custom broker agreement in form and substance satisfactory to Agent in its Permitted Discretion, duly executed and delivered to Agent by a Customs Broker and Borrower.

  • Mortgage broker means any person who for compensation or

  • Loan broker means any person who, for compensation or gain, or in the expectation

  • Landlord’s Broker means the individual or corporate broker identified on the Basic Lease Information sheet as the broker for Landlord.

  • Broker investment adviser," "net assets," "sale," "sell" and "security" shall have the same meanings as such terms have in the 1940 Act, subject to such exemption as may be granted by the SEC by any rule, regulation or order. Where the effect of a requirement of the federal securities laws reflected in any provision of this Agreement is made less restrictive by a rule, regulation or order of the SEC, whether of special or general application, such provision shall be deemed to incorporate the effect of such rule, regulation or order. This Agreement may be signed in counterpart.

  • Participating Broker- Dealer: See Section 2(b) hereof. Person: An individual, trustee, corporation, partnership, limited liability company, joint stock company, trust, unincorporated association, union, business association, firm or other legal entity. Private Exchange: See Section 2(b) hereof.

  • Salesman means an individual, other than a dealer, employed, appointed or authorized by a dealer to sell securities in this state. The partners or executive officers of a registered dealer shall not be deemed salesmen within the meaning of this definition.

  • Pawnbroker means the same as that term is defined in Section 13-32a-102.

  • Morgan Stanley Broker means a broker-dealer affiliated with Morgan Stanley.

  • Sponsoring Broker means a Participant other than a DMA Customer that allows its designated Customers to access the SEF Platform using the Participant ID of the Participant and (i) with respect to Cleared Swaps, is a Clearing Member; and (ii) with respect to Non-Cleared Swaps, is (x) an FCM or Introducing Broker; or (y) non-U.S. Person acting in a similar capacity that is not required to register as an FCM or Introducing Broker under the Act and that is appropriately licensed in a jurisdiction where its DMA Customer is located.

  • Real estate brokerage activity means any activity that involves offering or providing real estate brokerage services to the public, including:

  • Funding and Brokerage Fees means, in respect of a Series, all applicable fees other than the Arranger Fees, including, but not limited to, margin interest, securities lending fees, brokerage fees and costs of transaction taxes on the sale or purchase of Reference Assets (where relevant).

  • Customs Broker/Carrier Agreement means an agreement in form and substance satisfactory to the Agent among a Loan Party, a customs broker, freight forwarder, consolidator, or carrier, and the Agent, in which the customs broker, freight forwarder, consolidator, or carrier acknowledges that it has control over and holds the documents evidencing ownership of the subject Inventory for the benefit of the Agent and agrees, upon notice from the Agent, to hold and dispose of the subject Inventory solely as directed by the Agent.

  • Approved Broker means Arrow, Xxxxx Xxxxxxxx Sales, Clarksons, Xxxx Xxxxxxxx, SSY Valuation Services, Maersk Brokers, XX Xxxxxx Shipbrokers and Fearnleys (or such subsidiary or other company in the same corporate group through which valuations are commonly issued) and, in the plural, means all of them;