List of Brokers Sample Clauses

List of Brokers. Max Communications - Rxxxxxx Xxxxxxxx $50,000 of common restricted stock at $0.14 per share with piggyback registration rights Josephberg Gross - Rxxxxxx Xxxxxxxxxx $10,000 cash fee Dunwoody - Dxxxx Xxxxxxx 14,286 warrants with exercise price of $0.14 per share with piggyback registration rights, plus $8,000 cash fee PREFERRED STOCK PURCHASE AGREEMENT BETWEEN WIRELESS AGE COMMUNICATIONS, INC. AND BXXXXX PARTNERS LP PAGE 28 OF 29 Exhibit A Form of Certificate of Deisgnation of Preferences, Rights and Limitations PREFERRED STOCK PURCHASE AGREEMENT BETWEEN WIRELESS AGE COMMUNICATIONS, INC. AND BXXXXX PARTNERS LP
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List of Brokers. Upon execution of this Agreement, FRC will provide FoodEx with a current list of brokers utilized by FRC for marketing Product. FoodEx may contact and utilize the services of these brokers in order to attempt to expand markets for Product and its derivatives.
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List of Brokers. Upon execution of this Agreement, Cal Pacific will provide FoodEx with a current list of brokers utilized by Cal Pacific for marketing Product. FoodEx may contact and utilize the services of these brokers in order to attempt to expand markets for Product and its derivatives.
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List of Brokers. BNY CONVERGEX EXECUTION SOLUTIONS LLC MARKETS: U.S. equities & global fixed income. CONVERGEX GLOBAL MARKETS Global portfolio trading & global block trading, list & single stock trading. G-TRADE Global equities. PERSHING Global equities and fixed income. ANDISA SECURITIES South African and Namibian listed securities. BBY LIMITED Australian equities. BOE SECURITIES U.S. equities (emerging broker). XXXXXXXXXX & XXXXXX INC. North America, Europe, Asia, emerging markets, 24hr trading desk. CIBC WORLD MARKETS Canadian firms trading in Canadian securities only. COMMISSION DIRECT INC. Canada. COMMONWEALTH SECURITIES LTD Australian and New Zealand equities. CREDIT AGRICOLE CHEUVREUX NORTH AMERICA, INC. UK, Ireland, Spain, Portugal, Italy, Greece, Austria, France, Belgium, Netherlands, Germany, Stockholm, Finland, Norway, Austria, Poland, Czech Republic, Hungary, and Denmark. Applicable for U.S. domiciled managers trading through New York. DBS XXXXXXX SECURITIES, DBSV- iDirect Singapore, Hong Kong, Indonesia, Thailand, Malaysia, Korea, Philippines. EXANE BNP PARIBAS UK and developed Europe. HEFLIN & CO., LLC U.S. Equities. HSBC SECURITIES U.S., Canada, UK, Europe, Asia, Australia, New Zealand, emerging markets (ex Latin America, India, Korea, Taiwan). Global program trading available. ICAP U.S. Equities. IMPERIAL CAPITAL LLC U.S. equities. INSTINET, LLC U.S., Canada, UK, Europe, Australia, New Zealand, Asia, emerging markets; Greece, India, Indonesia, Korea, Malaysia, Mexico, Philippines, Thailand, Turkey. Global program trading available. ITG INC. Global equities. XXXXXXX XXXXX Only U.S. equities for U.S domiciled managers are eligible for commission recapture credit. ADRs and GDRs are not eligible for commission recapture credit. NATIXIS BLEICHROEDER, INC. Global portfolio trading. Only global portfolio trades through New York desk are eligible. OCBC SECURITIES PRIVATE LTD Singapore SGX. XXXXXXX SECURITIES PTE LTD Singapore, Hong Kong, Japan and Indonesian equities. NEONET Europe, Asia and North America. NORDEA BANK Sweden, Finland, Denmark, Norway, Europe. Not applicable for Scandinavian managers or clients. XXXXX XXXXXXX & CO. U.S. equities. SG SECURITIES UK, Europe, Asia (ex Japan, Malaysia), emerging markets; South Africa, Czech, Egypt, Estonia, Greece, Hungary, Poland, Turkey, Argentina, Brazil, Mexico. WJB CAPITAL GROUP INC. Global equities.
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List of Brokers. Westminster Securities Corporation has acted as Placement Agent to the Company and as such shall receive compensation of: (i) cash commission of ten percent (10%) of the gross proceeds of each Closing, and (ii) warrants to purchase 10% of the number of Shares issuable in connection with Preferred Stock and Warrants sold at each Closing, exercisable at the same price paid or payable by the Investors. PREFERRED STOCK PURCHASE AGREEMENT BY AND BETWEENVEIN ASSOCIATES OF AMERICA, INC. AND CERTAIN INVESTORS PAGE 30 OF 36 Exhibit A Form of Certificate of Designation of Preferences, Rights and Limitations of Series A Preferred Stock PREFERRED STOCK PURCHASE AGREEMENT BY AND BETWEENVEIN ASSOCIATES OF AMERICA, INC. AND CERTAIN INVESTORS PAGE 31 OF 36 Exhibit B Registration Rights Agreement PREFERRED STOCK PURCHASE AGREEMENT BY AND BETWEENVEIN ASSOCIATES OF AMERICA, INC. AND CERTAIN INVESTORS PAGE 32 OF 36 Exhibit C Warrants PREFERRED STOCK PURCHASE AGREEMENT BY AND BETWEENVEIN ASSOCIATES OF AMERICA, INC. AND CERTAIN INVESTORS PAGE 33 OF 36 Exhibit D Escrow Agreement PREFERRED STOCK PURCHASE AGREEMENT BY AND BETWEENVEIN ASSOCIATES OF AMERICA, INC. AND CERTAIN INVESTORS PAGE 34 OF 36 Exhibit E Corporate Charter, Articles of Incorporation and By-Laws
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Related to List of Brokers

  • Selection of Brokers The Sub-adviser is authorized to select the brokers or dealers that will execute the purchases and sales of portfolio securities and other property for a Fund in a manner that implements the policy with respect to brokerage set forth in the Prospectus and Statement of Additional Information for the Fund or as the Board of Directors or the Investment Manager may direct from time to time and in conformity with federal securities laws. In executing Fund transactions and selecting brokers or dealers, the Sub-adviser will use its best efforts to seek on behalf of the Fund the best overall terms available. In assessing the best overall terms available for any transaction, the Sub-adviser shall consider all factors that it deems relevant, including the breadth of the market in the security, the price of the security, the financial condition and execution capability of the broker or dealer, and the reasonableness of the commission, if any, both for the specific transaction and on a continuing basis. In evaluating the best overall terms available, and in selecting the broker-dealer to execute a particular transaction, the Sub-adviser may also consider the brokerage and research services provided (as those terms are defined in Section 28(e) of the Securities Exchange Act of 1934). Consistent with any guidelines established by the Board of Directors and communicated to the Sub-adviser, the Sub-adviser is authorized to pay to a broker or dealer who provides such brokerage and research services a commission for executing a portfolio transaction for a Fund that is in excess of the amount of commission another broker or dealer would have charged for effecting that transaction if, but only if, the Sub-adviser determines in good faith that such commission was reasonable in relation to the value of the brokerage and research services provided by such broker or dealer viewed in terms of that particular transaction or terms of the overall responsibilities of the Sub-adviser to the Fund. In addition, the Sub-adviser is authorized to allocate purchase and sale orders for securities to brokers or dealers (including brokers and dealers that are affiliated with the Investment Manager, Sub-adviser or the Company's principal underwriter) to take into account the sale of shares of the Company if the Sub-adviser believes that the quality of the transaction and the commission are comparable to what they would be with other qualified firms. In no instance, however, will Fund assets be purchased from or sold to the Investment Manager, Sub-adviser, the Company's principal underwriter, or any affiliated person of either the Company, the Investment 4 Manager, Sub-adviser or the principal underwriter, acting as principal in the transaction, except to the extent permitted by the Securities and Exchange Commission ("SEC") and the 1940 Act.

  • Finders; Brokers Buyer is not a party to any agreement with any finder or broker, or in any way obligated to any finder or broker for any commissions, fees or expenses, in connection with the origin, negotiation, execution or performance of this Agreement.

  • Real Estate Brokers (See also Paragraph 15)

  • No Brokers The Company has taken no action which would give rise to any claim by any person for brokerage commissions, transaction fees or similar payments relating to this Agreement or the transactions contemplated hereby.

  • Allocation of Brokerage The Subadviser shall have authority and discretion to select brokers and dealers to execute Designated Series transactions initiated by the Subadviser, and to select the markets on or in which the transactions will be executed.

  • Excess Brokerage Commissions The Adviser is hereby authorized, to the fullest extent now or hereafter permitted by law, to cause the Corporation to pay a member of a national securities exchange, broker or dealer an amount of commission for effecting a securities transaction in excess of the amount of commission another member of such exchange, broker or dealer would have charged for effecting that transaction, if the Adviser determines in good faith, taking into account such factors as price (including the applicable brokerage commission or dealer spread), size of order, difficulty of execution, and operational facilities of the firm and the firm’s risk and skill in positioning blocks of securities, that such amount of commission is reasonable in relation to the value of the brokerage and/or research services provided by such member, broker or dealer, viewed in terms of either that particular transaction or its overall responsibilities with respect to the Corporation’s portfolio, and constitutes the best net results for the Corporation.

  • Payment to Brokers Upon the execution of this Lease by both Parties, Lessor shall pay to said Broker(s) jointly, or in such separate shares as they may mutually designate in writing, a fee as set forth in a separate written agreement between Lessor and said Broker(s) (or in the event there is no separate written agreement between Lessor and said Broker(s), the sum of $ N/A ) for brokerage services rendered by said Broker(s) in connection with this transaction.

  • No Brokerage Fees There are no claims for brokerage commission, finders’ fees or similar compensation in connection with the transactions contemplated by this Subscription Agreement or related documents based on any arrangement or agreement binding upon Subscriber.

  • Selection of Brokers and Dealers To the extent permitted by the policy guidelines set forth in the Fund's current registration statement, in the selection of brokers and dealers to execute portfolio transactions, the Subadviser is authorized to consider not only the available prices and rates of brokerage commissions, but also other relevant factors, which may include, without limitation: the execution capabilities of the brokers and dealers; the research, custody, and other services provided by the brokers and dealers that the Subadviser believes will enhance the Subadviser's general portfolio management capabilities; the size of the transaction; the difficulty of execution; the operational facilities of these brokers and dealers; the risk to this broker or dealer of positioning a block of securities; and the overall quality of brokerage and research services provided by these brokers and dealers. In connection with the foregoing, the Subadviser is specifically authorized to pay those brokers and dealers who provide brokerage and research services to the Subadviser, a higher commission than that charged by other brokers and dealers if the Subadviser determines in good faith that the amount of the commission is reasonable in relation to the value of these services in terms of either the particular transaction or in terms of the Subadviser's overall responsibilities with respect to the Portfolio Segment and to any other client accounts or portfolios that the Subadviser advises. The execution of these transactions shall not be considered to represent an unlawful breach of any duty created by this Agreement or otherwise.

  • Finders and Brokers Except as set forth on Schedule 3.17, no broker, finder or investment banker is entitled to any brokerage, finder’s or other fee or commission from the Purchaser, the Target Companies or any of their respective Affiliates in connection with the transactions contemplated hereby based upon arrangements made by or on behalf of the Purchaser.

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