Approved Brokerage Firm definition

Approved Brokerage Firm means each of E*Trade, TDAmeritrade, Bank of America Merrill Lynch, JPMorgan, Wells Fargo, Fidelity, Morgan Stanley, Citi, Interactive Brokers, and any additional brokers approved by the Company from time to time.
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Approved Brokerage Firm means each of E*Trade, TDAmeritrade, Merrill Lynch, JPMorgan, Wells Fargo, Fidelity, Morgan Stanley and any additional brokers approved by the Company from time to time.
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Approved Brokerage Firm means any brokerage firm of Xxxxxxx Xxxxx Financial, Inc., Xxxxxx Xxxxxxx Xxxxx Xxxxxx, LLC, Xxxxxxx Xxxxx & Co., Inc. or XX Xxxxxx Chase & Co. Each member of the Xxxxx Family shall provide written notice to StoneMor of his or her intention to dispose of more than 4,000 Units in any given trading day. Such notice will be provide by email to StoneMor, attn: Xxxx Xxxxxxxx (xxxxx@xxxxxxxx.xxx) or such other email address as may be designated by StoneMor in writing from time to time.
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Examples of Approved Brokerage Firm in a sentence

  • Employee/Employee-Related Accounts (In-house--At an Approved Brokerage Firm) DB requires that its employees maintain their brokerage accounts at an "Approved Brokerage Firm" as determined by DB.

  • The Policy requires that all personal securities accounts be maintained at an "Approved Brokerage Firm." The Compliance Department has established procedures that have allowed the designation of the majority of Broker/Dealers as "Approved Brokerage Firms," the main requirement being the Carrying Broker/Dealer's ability to deliver confirmations of transactions electronically to the DBS Compliance Control Group ("Control Group").

  • If you choose to establish/maintain your accounts at an Approved Brokerage Firm, you are required to make a written application to that Firm, identifying yourself as a DB employee (see attachment).

  • Exceptions to the Approved Brokerage Firm List requirement may be granted by the CCO in limited circumstances at the request of the Access Person.

  • Exceptions to the Approved Brokerage Firm List requirement may be granted by the CCO in very limited circumstances at the request of the Access Person.

  • All Reportable Securities Accounts maintained by Access Persons, other than Independent Fund and Adviser Directors and Fund Directors that are not otherwise employed by Thrivent, must be maintained with firms that are on the Approved Brokerage Firm List (see Attachment A).

  • DB requires that its employees maintain their brokerage accounts at an "Approved Brokerage Firm" as determined by DB.

  • All Reportable Securities Accounts maintained by Access Persons, other than Independent Fund and Adviser Directors and Fund Directors that are not otherwise employed by Thrivent, must be maintained with firms that are on the Approved Brokerage Firm List(see Attachment A).

  • Each Approved Brokerage Firm sends electronic files containing information regarding each Access Persons’ trading activity and Securities holdings.

  • Web Street Securities If you choose to establish/maintain your accounts at an Approved Brokerage Firm, you are required to make a written application to that Firm, identifying yourself as a DB employee (see attachment).

Related to Approved Brokerage Firm

  • Approved Broker means any of the companies listed on Schedule 7 or such other company proposed by the Borrowers which the Agent may, with the consent of the Majority Lenders (such consent not to be unreasonably withheld), approve from time to time for the purpose of valuing a Ship, who shall act as an expert and not as arbitrator and whose valuation shall be conclusive and binding on all parties to this Agreement;

  • Approved Brokers means such firm of insurance brokers, appointed by the Charterer during the Charter Period, as may from time to time be approved in writing by the Mortgagee for the purposes of this Deed;

  • Designated Broker means the financial services firm or other agent designated by the Company to maintain ESPP Share Accounts on behalf of Participants who have purchased shares of Common Stock under the Plan.

  • Authorized Broker means those Brokers which are authorized to deal in Government Securities.

  • Approved Third-Party Appraiser means each of (a) Xxxxxxxx Xxxxx Xxxxxx & Xxxxx Inc., (b) Lincoln International LLC (formerly known as Lincoln Partners LLC), (c) Duff & Xxxxxx Corporation, (d) Valuation Research Corporation, and (e) any other third party appraiser selected by the Borrower in its reasonable discretion.

  • Expert is defined in Section 7.9 of this Agreement.

  • Valuation Firm has the meaning set forth in Section 1.6(c)(ii).

  • Adviser means a party furnishing services to the Trust pursuant to any contract described in Article IV, Section 7(a) hereof;

  • Independent Financial Adviser means an independent financial institution of international repute appointed by the Company at its own expense.

  • Accountant A Person engaged in the practice of accounting who (except when this Indenture provides that an Accountant must be Independent) may be employed by or affiliated with the Issuer or an Affiliate of the Issuer.

  • Advisory Firm means an accounting firm that is nationally recognized as being expert in Covered Tax matters, selected by the Corporation.

  • Adviser/Subadviser means the Adviser or a Subadviser, if any, of the Fund or both as the context may require.

  • Independent Accounting Firm means such nationally recognized, independent accounting firm as is mutually appointed by Seller and Buyer for purposes of this Agreement.

  • Participating Broker- Dealer: See Section 2(b) hereof. Person: An individual, trustee, corporation, partnership, limited liability company, joint stock company, trust, unincorporated association, union, business association, firm or other legal entity. Private Exchange: See Section 2(b) hereof.

  • CPA Firm has the meaning set forth in Section 2.3(c).

  • Independent Expert means a Person or entity with no material current or prior business or personal relationship with the Advisor or the Directors and who is engaged to a substantial extent in the business of rendering opinions regarding the value of assets of the type held by the Company.

  • insurance broker means an insurance brokerage firm,

  • Independent Accountant means a nationally recognized accountant, or firm of accountants, that is, with respect to the Trust, an independent public accountant or firm of independent public accountants under the Securities Act of 1933, as amended.

  • Appraiser An Independent nationally recognized professional commercial real estate appraiser who (i) is a member in good standing of the Appraisal Institute, (ii) if the state in which the related Mortgaged Property is located certifies or licenses appraisers, is certified or licensed in such state, and (iii) has a minimum of five years’ experience in the related property type and market.

  • investment firm means any legal person whose regular occupation or business is the provision of one or more investment services to third parties and/or the performance of one or more investment activities on a professional basis;

  • Neutral Accountant means a national independent accounting firm selected by Buyer and reasonably acceptable to Sellers.

  • Independent Financial Advisor means an accounting, appraisal, investment banking firm or consultant to Persons engaged in Similar Businesses of nationally recognized standing that is, in the good faith judgment of the Issuer, qualified to perform the task for which it has been engaged.