Securities Related Activities definition

Securities Related Activities means acting as a securities dealer and carrying on any business which is incidental to or a necessary part of such activities provided that the Board may, from time to time, include in, or exclude from this definition any activities and change those included or excluded;
Securities Related Activities are a person's activities as a broker, a dealer, an underwriter, an investment adviser registered under the Advisers Act or as an investment adviser to a registered investment company;

Examples of Securities Related Activities in a sentence

  • Disclosure in Respect of Securities Related Activities in a Canadian Financial Institution CQSI registrants may conduct securities related activities in an office or branch of a Canadian financial institution such as a credit union.

  • Below we show how this premium is related to the aggregate financial conditions and to the default threshold via the specification of the optimal contract on investment.

  • The IDA By-law, similarly, requires a sales company to conduct all Securities Related Activities on behalf of and in the name of the firm.

  • If yes, I have read the Disclosure in Respect of Securities Related Activities in a Canadian Financial Institution in the Booklet.The Entity, a resident of Canada, meets all provisions of the Withholding Tax Treaty that are necessary to claim a reduced rate of withholding, including any limitation on benefits provisions, and derives the income within the meaning of section 894 of the Internal Revenue Service Income Tax Code and the regulations thereunder, as the beneficial owner.

  • Section 39.5(j) and Appendix C to the IDA By-law state that each sales company, each Approved Person and each person acting on behalf of the sales company who conducts Securities Related Activities on behalf of the firm must comply with and do all acts and things necessary to cause the sales company to comply with all by-laws.

  • Specifically, the non-Member business activities permitted to be carried on by a sales company are much more restricted than for an individual advisor that is an employee or an agent and are limited to Securities Related Activities, insurance activities in compliance with the provisions of the IDA By-law and only other activities that have been approved by the IDA.

Related to Securities Related Activities

  • fishing related activities means any operation in support of, or in preparation for, fishing, including the landing, packaging, processing, transshipping or transporting of fish that have not been previously landed at a port, as well as the provisioning of personnel, fuel, gear and other supplies at sea;

  • Restricted Activities means those activities described in Section 10 of this Agreement.

  • Funded Activities means the activities set out in Annex 2 of these Conditions; Funding Period means the period for which the Grant is awarded starting on the Commencement Date and ending on [INSERT PROJECT END DATE]; General Data Protection Regulations and GDPR means (Regulation (EU) 2016/679); Grant means the sum or sums the Authority will pay to the Grant Recipient in accordance with paragraph 4 of these Conditions and subject to the provisions set out at paragraph 26.

  • Permitted Activities The primary activities of the trust created pursuant to this Agreement which shall be:

  • Prohibited Activities has the meaning set forth in Paragraph 6.26.

  • Business Activities shall be deemed to include any activities which are included in the Company's Business now or during the effective period of this Agreement.

  • Regulated Activities Order means the Financial Services and Markets Act (Regulated Activities) Order 2001;

  • Business activity means that term as defined in section 3(2) of the former single business tax act, 1975 PA 228, or in section 105 of the Michigan business tax act, 2007 PA 36, MCL 208.1105.

  • Instrumental activities of daily living or “IADL” means tasks consisting of housekeeping, laundry, shopping, transportation, medication management and meal preparation.

  • Instrumental activities of daily living (IADL) means routine activities performed around the home or in the community and includes the following:

  • Regulated Activity means any generation, treatment, storage, recycling, transportation, disposal or release of any Hazardous Substances.

  • Restricted Activity means directly or indirectly owning any interest in, managing, controlling, participating in, consulting with, rendering services for, or in any manner engaging in any business with any customer, supplier, competitor or other person having a business relation with the Company or any of its subsidiaries; provided however that the term "Restricted Activity" shall not include passive ownership of not more than 2% of the outstanding stock of any class of a corporation which is publicly traded, so long as Executive has no active participation in the business of that corporation.

  • Economic activities shall in principle include activities of an industrial, commercial and professional character and activities of craftsmen;

  • Competitive Activities means any business activities in which the Company or any other member of the Company Group engage (or have committed plans to engage) during the Term of Employment, or, following termination of Employee’s employment hereunder, was engaged in business (or had committed plans to engage) at the time of such termination of employment.

  • investment services and activities means any of the services and activities listed in Section A of Annex I relating to any of the instruments listed in Section C of Annex I;

  • Competing Activities means the same or similar services as Xxxxxx Xxx Ltd is providing to the Restaurant under this Agreement or other activities having a similar purpose.

  • Covered Activities means those land uses and conservation and other activities described in Chapter 2.3 of the HCP/NCCP to be carried out by the Conservancy or its agents that may result in Authorized Take of Covered Species during the term of the HCP/NCCP, and that are otherwise lawful.

  • Wellness activity means an explicit program of an activity

  • Competitive Business Activity means:

  • Service activities means activities in connection with the provision of personal, continuing services to shareholder accounts in the Shares; provided, however, that if the National Association of Securities Dealers, Inc. (“NASD”) adopts a definition of “service fee” for purposes of Section 2830(b)(9) of the NASD Conduct Rules or any successor provision that differs from the definition of “service activities” hereunder, or if the NASD adopts a related interpretive position intended to define the same concept, the definition of “service activities” in this paragraph shall be automatically amended, without further action of the parties, to conform to the then effective NASD definition. Overhead and other expenses related to “distribution activities” or “service activities,” including telephone and other communications expenses, may be included in the information regarding amounts expended for these activities.

  • member of the work-related activity group means a person who has or is treated as having limited capability for work under either—

  • Established business relationship means a relationship between a seller and a consumer based on:

  • Activities has the meaning specified in Section 7.02(b).

  • Prohibited Activity means any service or activity on behalf of a Competing Business that involves the planning, management, supervision, or providing of services that are similar in nature or purpose to those services Employee provided to the Company within the last 12 months of Employee’s employment with the Company or any other activities that would involve the use or disclosure of Confidential Information.

  • Motor Sport Activities means any motor sport activities or Recreational Services which are permitted or approved which CAMS regulates or administers by CAMS or otherwise under the responsibility / control of CAMS;

  • Interscholastic Activities means athletic or non-athletic/academic activities where students compete on a school vs. school basis.