Security broker definition

Security broker means a "broker" as such term is defined under the Securities Exchange Act of
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Security broker means a “broker” as such term is defined under the Securities Exchange Act of 1934 (15 U.S.C. § 78a et seq.), or any successor law to the Securities Exchange Act of 1934, who is registered with the United States Securities and Exchange Commission.
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Examples of Security broker in a sentence

  • These are the lagged Market return (Mkt lagged), the difference of the 3-month Tbill rate and its four-quarter moving average (RREL), the term spread (TERM), the default spread (DEF), the dividend-price-ratio DPRATIO), the log consumption-wealth ratio (cay), as well as the annual growth rate of Security broker dealer leverage (ySBRDLR:levg).

  • Production and sales ofcopper cathodeBOCI Securities Limited Security broker and investment advisor40 36,000 6.31 60,000Nesko Metal Sanayi ve Ticaret Anonim SirketiExploration and sales of copper products48 38,413Hengbang Property Insurance Company LimitedProperty insurance 14.82 9,780Liangshan Mining Metallurgical Investment Holding Co., Ltd.

  • The project focuses on analyzing and verifying a workflow QoS instead of constructing a QoS workflow.Since, the closet work to a Security broker for web services composition.

  • The client agrees that in the event of Security broker or any employee or official of Security broker providing any information, recommendation or advice to the client, the client may act upon the same at the sole risk and cost of the client and TSL shall not be liable or responsible for the same.

Related to Security broker

  • Commodity Broker means any person who engages in the business of effecting transactions in Commodity Contracts for the account of others or for his or her own account.

  • Data Broker means either of the following:

  • Loan broker means any person who, for compensation or gain, or in the expectation

  • Mortgage broker means any person who for compensation or

  • Prime Broker means a Person that acts as credit counterparty for transactions executed on the SEF in the name and on behalf of such Person by its client or an agent of its client that is a BSEF Participant and that has authorized a Participant to send RFQs, place Orders or enter into Trades in the name and on behalf of such Person.

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

  • Introducing Broker means any financial institution or advisor or legal or natural person obtaining remuneration from the Company and/or Clients for introducing Clients/interested parties to the Company.

  • Principal broker means a broker who is either a real estate proprietor, a partner in a real estate partnership, or an officer in a real estate corporation.

  • Associate broker means a licensed broker who is employed by

  • Real estate broker means an individual or business entity that, with intent to collect or receive a fee, compensation, or valuable consideration, sells or offers for sale, buys or offers to buy, provides or offers to provide market analyses of, lists or offers or attempts to list, or negotiates the purchase, sale, or exchange of real estate; that negotiates the mortgage of real estate; that negotiates for the construction of a building on real estate; that leases or offers or rents or offers for rent real estate or the improvements on the real estate for others, as a whole or partial vocation; that engages in property management as a whole or partial vocation; that sells or offers for sale, buys or offers to buy, leases or offers to lease, or negotiates the purchase or sale or exchange of a business, business opportunity, or the goodwill of an existing business for others; or that, as owner or otherwise, engages in the sale of real estate as a principal vocation.

  • insurance broker means an insurance brokerage firm,

  • Approved Broker means each of Arrow Valuations Ltd, Xxxxx Xxxxxxxx Salles, X. Xxxxxxxx & Co. Ltd., Maersk Brokers K/S and Xxxx Xxxxxxxx & Co Ltd London and, in the plural, means all of them;

  • Funding and Brokerage Fees means, in respect of a Series, all applicable fees other than the Arranger Fees, including, but not limited to, margin interest, securities lending fees, brokerage fees and costs of transaction taxes on the sale or purchase of Reference Assets (where relevant).

  • Landlord’s Broker means the individual or corporate broker identified on the Basic Lease Information sheet as the broker for Landlord.

  • Customs Broker means that individual, partnership, entity or corporation licensed by the Canada Border Services Agency, or other authorized body, to engage in the business of a customs broker and who is named as the Customs Broker in the Agency Agreement and Power of Attorney.

  • Seller’s Broker means Xxxxxx Xxxxxxx of Xxxxxxx and Wakefiled.

  • Salesperson means any person holding an Iowa real estate salesperson license as defined in Iowa Code section 543B.5(19).

  • 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.

  • REAL ESTATE BROKERS (See also Paragraph 15)

  • Broker means any person engaged in the business of effecting transactions in securities for the account of others.

  • Real estate brokerage activity means any activity that involves offering or providing real estate brokerage services to the public, including:

  • Tenant’s Broker means the individual or corporate broker identified on the Basic Lease Information sheet as the broker for Tenant.

  • Surplus lines broker means a person licensed pursuant to Article 5.1 (§ 38.2-1857.1 et seq.) of this

  • 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;

  • Pawnbroker means the same as that term is defined in Section 13-32a-102.