FINRA member means either any broker or dealer admitted to membership in the Financial Industry Regulatory Authority (formerly, the National Association of Securities Dealers, Inc., “FINRA”). (FINRA Manual, By-laws of FINRA Regulation, Inc. Article I, Definitions)
FINRA member means either any broker or dealer admitted to membership in the Financial Industry Regulatory Authority, Inc. (“FINRA”). (FINRA Manual, By-laws of FINRA Regulation, Inc. Article I, Definitions) Control. The term “control” (including the terms “controlling,” “controlled by” and “under common control with”) means the possession, direct or indirect, of the power, either individually or with others, to direct or cause the direction of the management and policies of a person, whether through the ownership of voting securities, by contract, or otherwise. (Rule 405 under the Securities Act of 1933, as amended)
FINRA member means any broker or dealer admitted to membership in FINRA. For purposes of the Code of Arbitration Procedure for Customer Disputes or the
Examples of FINRA member in a sentence
When and only if appropriate as determined by Commonwealth, Commonwealth shall sponsor Portfolio Company and attend one (1) capital conference with the sole purpose of assisting Portfolio Company in engaging a selling agreement with one or more FINRA Member Broker Dealers.
Commonwealth does not receive any direct or indirect remuneration, commissions, fees or points from any source of capital, including SEC registered & FINRA Member broker dealers or from any issuer based on capital raised or obtained.
As in individual, I confirm that I am of legal age, and under the laws of the State where I reside and are authorized to have a brokerage account carried by CSLLC, which is subject to the terms of this Agreement and, unless otherwise disclosed to CSLLC, I am not an employee of any exchange or FINRA Member.
Name of FINRA Member Firm By: Authorized Officer ACCEPTANCE ADITX THERAPEUTICS, INC.
While serving in the capacity of CONTRACTOR, CONTRACTOR CANNOT BE ACTIVE AS A REGISTERED REPRESENTATIVE WITH A SEC registered and FINRA Member broker dealer, AS THERE WOULD BE AN INHERENT CONFLICT OF INTEREST SERVING IN THE TWO CAPACITIES.
More Definitions of FINRA member
FINRA member means any broker or dealer admitted to membership in FINRA. [Article I, sections (e), (k) and (ee) of the FINRA By-Laws.]
FINRA member means either any broker or dealer admitted to membership in the Financial Industry Regulatory Authority, Inc. (“FINRA”). (FINRA Manual, Article I, Definitions) Person Associated with a member of the FINRA. The term “person associated with a member of the FINRA” means every sole proprietor, partner, officer, director, branch manager or executive representative of any FINRA Member, or any natural person occupying a similar status or performing similar functions, or any natural person engaged in the investment banking or securities business who is directly or indirectly controlling or controlled by a FINRA Member, whether or not such person is registered or exempt from registration with the FINRA pursuant to its bylaws. (FINRA Manual, Article I, Definitions) Underwriter or a Related Person. The term “underwriter or a related person” means, with respect to a proposed offering, underwriters, underwriters’ counsel, financial consultants and advisors, finders, members of the selling or distribution group, and any and all other persons associated with or related to any of such persons. (FINRA Interpretation)
FINRA member means a Person who is, as of a particular date of determination, a member of FINRA in good standing.
FINRA member means any broker or dealer admitted to membership in FINRA.
FINRA member means either any broker or dealer admitted to membership in the Financial Industry Regulatory Authority (formerly, the National Association of Securities Dealers, Inc., “FINRA”). (FINRA Manual, By-laws of FINRA Regulation, Inc. Article I, Definitions) Control. The term “control” (including the terms “controlling,” “controlled by” and “under common control with”) means the possession, direct or indirect, of the power, either individually or with others, to direct or cause the direction of the management and policies of a person, whether through the ownership of voting securities, by contract, or otherwise. (Rule 405 under the Securities Act of 1933, as amended) Person Associated with a member of the FINRA. The term “person associated with a member of the FINRA” means every sole proprietor, partner, officer, director, branch manager or executive representative of any FINRA Member, or any natural person occupying a similar status or performing similar functions, or any natural person engaged in the investment banking or securities business who is directly or indirectly controlling or controlled by a FINRA Member, whether or not such person is registered or exempt from registration with the FINRA pursuant to its bylaws. (FINRA Manual, By-laws of FINRA Regulation, Inc. Article I, Definitions) Underwriter or a Related Person. The term “underwriter or a related person” means, with respect to a proposed offering, underwriters, underwriters’ counsel, financial consultants and advisors, finders, members of the selling or distribution group, and any and all other persons associated with or related to any of such persons. (FINRA Interpretation) Continental Stock Transfer & Trust Company Xxx Xxxxx Xxxxxx, 00xx Xxxxx Xxx Xxxx, Xxx Xxxx 00000 Attention: [ ]
FINRA member means either any broker or dealer admitted to membership in the Financial Industry Regulatory Authority, Inc. (“FINRA”). (FINRA Manual, By-laws Article I, Definitions) Control. The term “control” (including the terms “controlling,” “controlled by” and “under common control with”) means the possession, direct or indirect, of the power, either individually or with others, to direct or cause the direction of the management and policies of a person, whether through the ownership of voting securities, by contract, or otherwise. (Rule 405 under the Securities Act of 1933, as amended)
FINRA member a BD that is a member of the FINRA.