Restricted Broker-Dealer definition

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

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

Restricted Broker-Dealer. Any Broker-Dealer that holds Series B Notes that were acquired in the Exchange Offer in exchange for Series A Notes that such Broker-Dealer acquired for its own account as a result of market making activities or other trading activities (other than Series A Notes acquired directly from the Company or any of its affiliates).

Examples of Restricted Broker-Dealer in a sentence

• The Company and the Guarantors acknowledge that any Restricted Broker-Dealer holding Broker-Dealer Transfer Restricted Securities may not resell such Broker-Dealer Transfer Restricted Securities without delivering a Prospectus.

• A Restricted Broker-Dealer is deemed to be a holder of Broker-Dealer Transfer Restricted Securities (each, a "Holder") whenever such Restricted Broker-Dealer owns Broker-Dealer Transfer Restricted Securities.

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

• The Company shall use all commercially reasonable efforts to deliver Market-Maker Prospectuses to all Restricted Broker-Dealers immediately upon the effectiveness of the Registration Statement and from time to time thereafter upon request, in such quantities as such Restricted Broker-Dealer shall require.

• The Company acknowledges that any Restricted Broker-Dealer holding Broker-Dealer Transfer Restricted Securities may not resell such Broker-Dealer Transfer Restricted Securities without delivering a Prospectus.

More Definitions of Restricted Broker-Dealer

Restricted Broker-Dealer. Any Broker-Dealer that holds Exchange Notes that were acquired in the Exchange Offer in exchange for Notes that such Broker-Dealer acquired for its own account as a result of market making activities or other trading activities (other than Notes acquired directly from the Company or any of its affiliates).

Restricted Broker-Dealer. Any Broker-Dealer which holds Broker-Dealer Transfer Restricted Senior Notes.

Restricted Broker-Dealer. Any Broker-Dealer which holds Broker-Dealer ------------------------ Transfer Restricted Senior Notes.

Restricted Broker-Dealer means a Broker-Dealer (as defined in the Registration Rights Agreement) engaged in activities contemplated by Section 3(c) of the Registration Rights Agreement.

Restricted Broker-Dealer. Any Broker-Dealer which holds Broker-Dealer Transfer Restricted Securities. Securities Act: The Securities Act of 1933, as amended, and the rules and regulations promulgated thereunder.

Restricted Broker-Dealer. Any Broker-Dealer that holds Series B Notes that ------------------------ were acquired in the Exchange Offer in exchange for Series A Notes that such Broker-Dealer acquired for its own account as a result of market making activities or other trading activities (other than Series A Notes acquired directly from the Issuer or any of its affiliates).

Restricted Broker-Dealer means any of the following: (i) any Person set forth on Schedule C hereto for so long as such Person is one of the top 25 (based on gross sales for all Hartford Funds using the most recently available reliable sales data) broker-dealers that has a written selling agreement with respect to Hartford Funds; (ii) any Person that, after the date hereof, becomes one of the top 25 (based on gross sales for all Hartford Funds using the most recently available reliable sales data) broker-dealers with a written selling agreement with respect to Hartford Funds; or (iii) any Person set forth on Schedule C by mutual agreement of Hartford and Wellington. Notwithstanding the foregoing clause (ii), no Person with whom Wellington is in active discussions with regarding a subadvisory engagement shall be a Restricted Broker-Dealer to the extent that such Person is not set forth on Schedule C in effect as of the date of the commencement of such discussions.