Broker-Dealers definition

Broker-Dealers means collectively US Global Investors Services and US Global Investors Fund Distribution Company.
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Broker-Dealers has the meaning set forth in Exhibit 1.
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Broker-Dealers means financial intermediary or advisor.
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Examples of Broker-Dealers in a sentence

  • The Exchange Offer shall be on the appropriate form permitting registration of the Exchange Securities to be offered in exchange for the Transfer Restricted Securities and to permit resales of Initial Securities held by Broker-Dealers as contemplated by Section 3(c) hereof.

  • Holders of Registrable Notes and Participating Broker-Dealers are intended third-party beneficiaries of this Agreement, and this Agreement may be enforced by such Persons.

  • New Securities received by Broker-Dealers for their own account pursuant to the Exchange Offer may be sold from time to time in one or more transactions in the over-the-counter market, in negotiated transactions, through the writing of options on the New Securities or a combination of such methods of resale, at market prices prevailing at the time of resale, at prices related to such prevailing market prices or negotiated prices.

  • The Auction Agent may record telephone communications with the Fund or with the Broker-Dealers or with both.

  • Holders of Registrable Securities and Participating Broker-Dealers are intended third-party beneficiaries of this Agreement, and this Agreement may be enforced by such Persons.

  • The Auction Agent may record telephone communications with the Company or with the Broker-Dealers or with both.

  • This Agreement shall inure to the benefit of and be binding upon the successors and assigns of each of the parties hereto, the Holders and the Participating Broker-Dealers; provided, however, that nothing herein shall be deemed to permit any assignment, transfer or other disposition of Registrable Notes in violation of the terms of the Purchase Agreement or the Indenture.

  • This Agreement shall inure to the benefit of and be binding upon the successors and assigns of each of the parties hereto, the Holders and the Participating Broker-Dealers; provided, however, that this Agreement shall not inure to the benefit of or be binding upon a successor or assign of a Holder unless and to the extent such successor or assign holds Registrable Notes.

  • This Agreement shall inure to the benefit of and be binding upon the successors and assigns of each of the parties hereto, the Holders and the Participating Broker-Dealers; provided, however, that nothing herein shall be deemed to permit any assignment, transfer or other disposition of Registrable Securities in violation of the terms of the Purchase Agreement or the Indenture.

  • The Auction Agent may record telephone communications with the Broker-Dealers.


More Definitions of Broker-Dealers

Broker-Dealers means Xxxxxxx X. Xxxxx & Co., with respect to the Series A1-1 Notes through the Series A1-11 Notes and the Series B1-1 Notes and the Series B1-2 Notes, and shall mean Xxxxxxx Xxxxx Barney Inc., with respect to the Series A1-12 Notes and the Series A1-13 Notes, and any other broker or dealer (each as defined in the Securities Exchange Act of 1934, as amended), commercial bank or other entity permitted by law to perform the functions required of a Broker-Dealer set forth in the Auction Procedures that (a) is a Participant (or an affiliate of a Participant), (b) has been appointed as such by the Issuer pursuant to Section 2.02(f) of this Appendix A, and (c) has entered into a Broker-Dealer Agreement that is in effect on the date of reference.
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Broker-Dealers means those Persons meeting the definition of Section 3(a)(4)(A) and 5(A) of the Securities Exchange Act of 1934.
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Broker-Dealers means any individual or firm in the business of buying and selling securities for itself and others (iv) “hedge funds” shall mean as a class, invest in a broad range of investments including shares, debt, commodities and so forth,
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Broker-Dealers means any broker-dealer or broker-dealers, or other entity permitted by law to perform the functions required of a Broker-Dealer by the Auction Procedures, that has been selected by the Corporation and has entered into a Broker-Dealer Agreement with the Auction Agent that remains effective.
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Broker-Dealers means any broker-dealer, or other entity permitted by law to perform the functions required of a Broker-Dealer in this
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Broker-Dealers means the Broker-Dealer and any Other Broker-Dealers.
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Related to Broker-Dealers

  • Broker-Dealer Any broker or dealer registered under the Exchange Act.

  • Restricted Broker-Dealer Any Broker-Dealer which holds Broker-Dealer Transfer Restricted Securities.

  • Participating Broker-Dealers shall have the meaning set forth in Section 4(a) hereof.

  • Broker-Dealer Subsidiary means any Subsidiary that is registered as a broker-dealer under the Exchange Act or any other applicable law requiring similar registration.

  • Broker-Dealer Agreement means this Agreement and any substantially similar agreement between the Auction Agent and a Broker-Dealer.

  • Participating Broker-Dealer has the meaning set forth in the Registration Rights Agreement.

  • Broker Dealer of Record means GWM Limited or any successor or replacement thereto or any other entity appointed as broker dealer of record in accordance with the terms of the Broker Dealer of Record Agreement.

  • Exchanging Dealer means any Holder (which may include any Initial Purchaser) that is a Broker-Dealer and elects to exchange for New Securities any Securities that it acquired for its own account as a result of market-making activities or other trading activities (but not directly from the Company or any Affiliate of the Company).

  • Initial Purchaser As defined in the preamble hereto.

  • inter-dealer bond broker means a person or company that is approved by the Investment Industry Regulatory Organization of Canada under its Rule No. 36 Inter-Dealer Bond Brokerage Systems, as amended, and is subject to its Rule No. 36 and its Rule 2100 Inter-Dealer Bond Brokerage Systems, as amended from time to time;

  • Participating Dealer means any licensed broker or dealer and who has entered into a Participation Agreement in form and substance acceptable to the Manager and the Trustee.

  • Selling Holder Indemnified Persons has the meaning specified therefor in Section 2.09(a) of this Agreement.

  • Dealers shall refer to alternate distribution sources for an OEM that are authorized and designated by said OEM, subject to approval by New York State.

  • 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;

  • Participating means an employee is currently earning service credit in the system as provided in KRS 61.543;

  • Exempt Resales The transactions in which the Initial Purchasers propose to sell the Series A Notes to certain "qualified institutional buyers," as such term is defined in Rule 144A under the Act and pursuant to Regulation S under the Act.

  • Commercial Paper Dealers means Merrill Lynch, Pierce, Fenner & Smith Incorporated and such other commercial paper dealer or dealers as the Corporation may from time to time appoint, or, in lieu of any thereof, their respective affiliates or successors.

  • Selling Holder means a Holder who is selling Registrable Securities pursuant to a Registration Statement.

  • 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.

  • Dealer Managers shall have the meaning set forth in the preamble.

  • Wholesale dealer means any dealer who deals in, or who holds a licence under any law to deal in, as the case may be, wholesale quantities of goods, and the business and stock of a wholesale dealer shall be deemed to include the business and stocks of any retail dealer who conducts business on the same premises on which the wholesale dealer conducts his or her business; and

  • Selling Holders means, with respect to a specified registration pursuant to this Agreement, Holders whose Registrable Securities are included in such registration.

  • Regular Dealer means a DBE firm that owns, operates, or maintains a store, warehouse, or other establishment in which the materials supplies, articles, or equipment of the general character described by the specifications and required under the contract are bought, kept in stock, and regularly sold or leased to the public in the usual course of business.

  • Designated Holder means the Holder of Note A-1.

  • Underwriter means a securities dealer who purchases any Registrable Securities as principal in an Underwritten Offering and not as part of such dealer’s market-making activities.

  • Registrable Amount means an amount of Registrable Securities having an aggregate value of at least $200,000,000 (based on the anticipated offering price (as determined in good faith by the Requesting Shareholders)).