Brokerage services definition

Brokerage services means those activities identified in sections 543B.3 and 543B.6.

Brokerage services means brokerage, broker-dealer transaction processing, dealer, distributorship, custodial, and related services, or any other services that involve acting as a Broker-Dealer, and performing ancillary services and activities related or incidental thereto.

Brokerage services means those services provided by a broker to a party in a transaction;

Examples of Brokerage services in a sentence

• Brokerage services are provided by Fidelity Brokerage Services LLC, Member NYSE, SIPC.

• Dealing with Associate Companies – The AMC may, from time to time, for the purpose of conducting its normal business, use the services (including Brokerage services and securities transactions) of the Sponsor, subsidiaries, and group companies, associates of its Sponsor and their employees or relatives.

• Procurement of Insurance Brokerage services is subject to this Policy as a professional service.

• Fiscal Management Services (FMS) and Support Brokerage services are also provided for individuals that use the self-directed service delivery option.

• Brokerage services are provided by the Bank’s investment services through affiliation with Raymond James Financial Services, Inc.

More Definitions of Brokerage services

Brokerage services means those services provided by a

Brokerage services means the services to be provided by the Company to the Client as described in paragraph 4.1 of this Agreement;

Brokerage services means those activities which require a

Brokerage services means the arranging of transportation or the physical movement of property.

Brokerage services means the ar- rangements or negotiations conducted by a motor vehicle broker for the purpose of ob- taining a motor vehicle for a buyer or lessee from a seller or lessor through a method that does not include:

Brokerage services means the website and related services that Capital Markets Elite Group (Cayman) provide which is needed to place trades in your account.

Brokerage services means brokerage, broker-dealer transaction processing, dealer, distributorship, custodial, and related services, or any other services that involve acting as a broker-dealer, and performing ancillary services and activities related or incidental thereto. Each Broker-Dealer Entity has established, in compliance with the requirements of applicable Law, and maintained in effect, since January 1, 2021, written policies and procedures reasonably designed to achieve compliance with the Exchange Act, the SEC rules thereunder, and the rules of each applicable SRO (“BD Compliance Policies”), including those required by (i) applicable FINRA rules, including FINRA Rule 3110, 3120 and 3130, (ii) anti-Money Laundering Laws, including a written customer identification program in compliance therewith, (iii) privacy Laws including policies and procedures with respect to the protection of nonpublic personal information about clients of the Company or any of its Subsidiaries and other third parties and (iv) identity theft Laws, and approved such principals, managers and other supervisors as are required under the aforementioned Laws. All such BD Compliance Policies comply in all material respects with applicable Laws.