Retail Representative definition

Retail Representative means an individual who (1) represents the interests of retail investors, (2) has experience working with or on behalf of retail investors, (3) has the requisite background and professional experience to understand the interests of retail investors, the work of the Operating Committee of the Company, and the role of market data in the U.S. equity market, and (4) is not affiliated with a Member or broker-dealer.
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Retail Representative means an individual who (1) represents the interests of retail investors, (2) has experience working with or on behalf of retail investors, (3) has the requisite background and professional experience to understand the interests of retail investors, the work of the Operating Committee of the Company, and the role of market data in the U.S. equity market, and (4) is not affiliated with a Member or broker-dealer. “Self-regulatory organization” or “SRO” has the meaning provided in Section 3(a)(26) of the Exchange Act.
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Examples of Retail Representative in a sentence

  • The studies are based on competency analyses for the position of Retail Representative, which has been placed in level 2 of the ISQF, and Middle Management in shops, which has been placed in level 3 of the ISQF.

  • The studies are based on competency analyses for the position of Retail Representative, which has been placed in level 2 of the ISQF, and middle management in shops, which has been placed in level 3 of the ISQF.

  • The studies are based on competency analyses for the position of Retail Representative which has been placed in level 2 of the ISQF and Middle Management in shops which has been placed in level 3 of the ISQF.

  • She had been registered with the ▇▇▇ and then IIROC as a Retail Representative since February 1995.

Related to Retail Representative

  • Departmental Representative means the person designated in the Contract, or by written notice to the Contractor, to act as the Departmental Representative for the purposes of the Contract, and includes a person, designated and authorized in writing by the Departmental Representative to the Contractor;

  • Personal representative means the person or persons who, upon the disability or incompetence of a Participant, shall have acquired on behalf of the Participant, by legal proceeding or otherwise, the power to exercise the rights or receive benefits under this Plan and who shall have become the legal representative of the Participant.

  • Association Representative A member of the Association, who has been designated as a representative by the Association or a staff person of the Association.

  • Advisory Representative means any Supervised Person, who in connection with his or her regular functions or duties, normally makes, participates in, or otherwise obtains current information regarding the Purchase or Sale of a Security by the Firm, or whose functions relate to the making of any recommendations with respect to such purchases or sales, and any natural Person in a Control relationship to the Firm who obtains information concerning recommendations made concerning a Purchase or Sale of a Security. This definition includes but is not limited to the following: partner, officer, Manager, investment person, Portfolio Manager and any other Supervised Person of the Firm designated as an “Advisory Representative” from time to time by the Review Officer.

  • Personal Representatives means, following his death, the Participant’s personal representatives, or a person fulfilling a similar function in any jurisdiction;