Securities Broker definition

Securities Broker means the registered securities broker acceptable to the Company who agrees to effect the cashless exercise of an Option pursuant to Section 5(d) hereof.
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Securities Broker means the registered securities broker acceptable to the Company who agrees to effect the cashless exercise of an Option pursuant to Section 8.05 hereof.
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Securities Broker means a registered securities broker acceptable to the Board who agrees to effect the cashless exercise of an Option.
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Examples of Securities Broker in a sentence

  • In case any dispute in connection with the Transaction between the Securities Broker and the Customer is not settled amicably, either Party may refer the same to the Arbitration in accordance with the arbitration procedures prescribed in PSX Regulations.

  • Knowledge of derivatives means that: The Client holds appropriate professional Certificates (Investment Adviser, Securities Broker, Chartered Financial Analyst, Financial Risk Manager, Professional Risk Manager, ACI Dealing Certificate, ACI Diploma) or completion of a specialist field of study.

  • The Board of Governors of the Federal Reserve System (Board) is adopting a proposal to extend for three years, without revision, the Notice by Financial Institutions of Government Securities Broker or Government Securities Dealer Activities and Notice by Financial Institutions of Termination of Activities as a Government Securities Broker or Government Securities Dealer (Form G–FIN and Form G–FINW; OMB No. 7100–0224).

  • Company: EXNESS B.V., a company authorised by the Central Bank of Curaçao and Sint Maarten with Securities Broker License Number 0003LSI.

  • The CDC IPS Service is operated using an internal CDC IPS System rather than the CDS; NCCPL has now expanded the pool of assets that the Securities Broker may use to meet the Margin Requirements to include certain Government Securities held by the Securities Broker and/or an Investor under the CDC IPS System.


More Definitions of Securities Broker

Securities Broker. “securities broker” means a person who is engaged for all or part of the person’s time in the
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Securities Broker means a trading right entitlement certificate holder or “TRE” certificate holder who, by way of business,
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Securities Broker is defined in the Recitals who is also Clearing Member of Clearing House;
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Securities Broker means a judicial person licensed by the Authority, who shall carry out the business of effecting transactions in securities for account of others or in the business of dealings in securities for his own account (but not simply as an investor) and such person shall not be considered as a financial institution;
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Securities Broker means a registered securities broker acceptable to the Company who agrees to effect the cashless exercise of an Option pursuant to paragraph 5(d) below.
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Securities Broker means a person who is engaged for all or part of the person’s time in the business of buying and selling securities and who, in the transaction concerned, acts for, or buys a security from, or sells a security to, a customer;
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Securities Broker or “securities dealer” means a person engaged in the business of buying or selling of securities;”.
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