soliciting dealer definition

soliciting dealer means a person whose interest in a distribution of rights is limited to soliciting the exercise of the rights by holders of those rights;
soliciting dealer. North Capital Private Securities Corporation a Delaware corporation By: Name: Xxxxx X. Xxxx Title: Managing Director SPONSOR: RM Sponsor, LLC a California limited liability company By: Name: Xxxxxxxx Xxxxxx Title: Chief Executive Officer EXHIBIT A Master Technology and Services Agreement
soliciting dealer means Mackie Research Capital Corporation;

More Definitions of soliciting dealer

soliciting dealer means a member of the Soliciting Dealer Group.
soliciting dealer means a person or company the interest of which in a rights
soliciting dealer. Mogul Securities, LLC a Delaware limited liability company By: Name: Title: SPONSOR: RM Sponsor, LLC a California limited liability company By: Name: Title: EXHIBIT A Master Technology and Services Agreement
soliciting dealer. Any NASD-member securities broker/dealer which is registered as such under Section 15 of the Securities Exchange Act of 1934, as amended, and by the securities regulatory authority of each state in which it conducts any securities-related business, and which executes a Selling Agreement with the Company and participates as a selling broker/dealer with respect to Investor Interestholder Interests.
soliciting dealer. Fees due to eligible Soliciting Dealers will be paid promptly after consummation of the Offer. No Soliciting Dealer Fees will be payable to Soliciting Dealers with respect to Shares purchased after the expiration of the Offer. This Soliciting Dealer Agreement will be governed by the laws of the State of Ohio, without reference to the choice of law principles thereof. Please list in the Appendix attached hereto and forming part of this Soliciting Dealer Agreement the number of Shares purchased pursuant to exercise of the Rights by each beneficial owner whose purchases pursuant to the exercise of Rights you, as a Soliciting Dealer, have solicited. All amounts beneficially owned by a beneficial owner, whether in one account or several, and in however many capacities, must be aggregated for purposes of completing the table in the Appendix hereto. Any questions as to what constitutes beneficial ownership should be directed to the Fund. The number of shares not listed in the Appendix for reasons of inadequate space should be listed in a separate schedule attached to, and forming part of, this Soliciting Dealer Agreement. Please execute this Soliciting Dealer Agreement below, accepting the terms and conditions hereof and confirming that you are (i) registered as a broker- dealer under the Exchange Act, (ii) qualified to act as a dealer in each jurisdiction in which you have solicited the exercise of Rights and (iii) a member firm of a registered national securities exchange or of the NASD or a foreign broker or dealer not eligible for membership who has conformed to the Conduct Rules of the NASD, including Sections 2730, 2740, 2420 and 2750 thereof, in making solicitations of the type being undertaken pursuant to the Offer in the United States to the same extent as if you were a member thereof; and certifying that you have solicited the purchase of the Shares pursuant to exercise of the Rights, all as described above, in accordance with the terms and conditions set forth in this Soliciting Dealer Agreement. Very truly yours, USF&G PACHOLDER FUND, INC. By: ------------------------------- Name: Title:

Related to soliciting dealer

  • Soliciting Dealers means those broker-dealers that are members of the Financial Industry Regulatory Authority, or that are exempt from broker-dealer registration, and that, in either case, enter into participating broker or other agreements with the Dealer Manager to sell Shares.

  • managing dealer means a person that has entered into an agreement with an issuer under which the person has agreed to organize and participate in the solicitation of the exercise of the rights issued by the issuer;

  • Dealer Manager means Realty Capital Securities, LLC, or such other Person selected by the Board of Directors to act as the dealer manager for the Offering.

  • Dealer means a dealer who sold a Financed Vehicle and who originated and assigned the respective Receivable to AmeriCredit or an Originating Affiliate under a Dealer Agreement or pursuant to a Dealer Assignment.

  • Vehicle dealer means a person engaged in the business of buying, selling, or exchanging a vehicle as defined in Subsection (138).

  • Placement Agent means X.X. Xxxxxxxxxx & Co., LLC.