Sentences with phrase «of authorized brokers»

Not exact matches

If you are a beneficial holder and do not provide specific voting instructions to your broker, under a recent rule change the organization that holds your shares will not be authorized to vote on the election of directors.

You are an authorized representative of a bank, broker - dealer, insurance company, registered investment adviser or other professional client (together, «Financial Institutions») engaged in business activities outside the United States of America (a «Non-U.S. Adviser») and the Financial Institution has authorized you to access and use the Holdings Information.

Lykke has already obtained Vanuatu's Dealer in Securities license and claims to be exploring or in the process of becoming authorized as an EU broker, EU Electronic Money Institution, and UK Multilateral Trading Facility.

Although state legislation authorizing mayoral control of the Buffalo Public Schools still lacks a Republican sponsor in the GOP - dominated Senate, that hasn't stopped city power brokers from quietly plotting what a takeover of the troubled district would look like.

Send a letter to your broker or financial consultant to authorize the transfer of stock as a contribution to United Way of the Southern Tier.

Frustrated by a lack of progress over a new contract, faculty members and employees at the City University of New York voted overwhelmingly to authorize a strike if a mediator was unable to broker a deal with the administration, their union said.

Cuomo's surrogates argue he has delivered for progressives on other fronts, by brokering the passage of same - sex marriage, renewing most of a 2009 income tax surcharge on the wealthy and, after much back - and - forth with New York City mayor Bill de Blasio, authorizing the money for an expansion of pre-kindergarten programs statewide.

Virtual Brokers Electronic Communications Agreement I agree to authorize Virtual Brokers a division of BBS Securities Inc. to contact me about information relating to Virtual Brokers, including special offers, products and services.

It was fined by CySEC for violations of the conditions of its license, while Japan's FSA, and the Ontario Securities Commission warned the broker is not authorized to operate in the respective jurisdictions.

AvaTrade is an authorized and regulated broker that complies with the strictest regulatory requirements AvaTraed is regulated by the Central Bank of Ireland, Australian Securities & Investments Commission (ASIC), Financial Services Commission (British Virgin Islands).

Libertex is an authorized and regulated broker under the jurisdiction of the Cyprus Securities Exchange Commission.

(B) «Credit repair services organization» does not include: (i) Any person authorized to make loans or extensions of credit under the laws of this state or the United States who is subject to regulation and supervision by this state or the United States; (ii) Any bank or savings and loan institution whose deposits or accounts are eligible for insurance by the Federal Deposit Insurance Corporation or the Savings Association Insurance Fund of the Federal Deposit Insurance Corporation; (iii) Any nonprofit organization exempt from taxation under Section 501 (c)(3) of the Internal Revenue Code of 1986; (iv) Any person licensed as a real estate broker by this state if the person is acting within the course and scope of that license; (v) Any person licensed to practice law in this state if the person renders services within the course and scope of his or her practice as an attorney; (vi) Any broker - dealer registered with the Securities and Exchange Commission or the Commodity Futures Trading Commission if the broker - dealer is acting within the course and scope of those regulatory agencies; or (vii) Any consumer reporting agency as defined in the federal Fair Credit Reporting Act (15 U.S.C. 1681 - 1681t).

A company authorized by the Securities and Exchange Commission to buy and sell, or broker, shares of stock, bonds, or other other investments on behalf of clients.

Mauro: Creations and redemptions are done primarily using an «in - kind» process where authorized participants (APs, or bond broker - dealers) deliver bonds in order to create shares or redeem bonds out of the ETF to redeem shares.

Daily access to information concerning the Fund's portfolio holdings also is permitted (i) to certain personnel of those service providers that are involved in portfolio management and providing administrative, operational, risk management, or other support to portfolio management, including affiliated broker - dealers and / or Authorized Participants, and (ii) to other personnel of the Advisor, Sub-Advisor, and other service providers, such as the Administrator, and fund accountant, who deal directly with, or assist in, functions related to investment management, administration, custody and fund accounting, as may be necessary to conduct business in the ordinary course in a manner consistent with agreements with the Fund and / or the terms of the Fund's current registration statement.

(1) The following shall be exempt from the Credit Services Organization Act: (a) A person authorized to make loans or extensions of credit under the laws of this state or the United States who is subject to regulation and supervision by this state or the United States or a lender approved by the United States Secretary of Housing and Urban Development for participation in a mortgage insurance program under the National Housing Act, 12 U.S.C. 1701 et seq.; (b) A bank or savings and loan association whose deposit or accounts are eligible for insurance by the Federal Deposit Insurance Corporation or a subsidiary of such a bank or savings and loan association; (c) A credit union doing business in this state; (d) A nonprofit organization exempt from taxation under section 501 (c)(3) of the Internal Revenue Code; (e) A person licensed as a real estate broker or salesperson under the Nebraska Real Estate License Act acting within the course and scope of that license; (f) A person licensed to practice law in this state acting within the course and scope of the person's practice as an attorney; (g) A broker - dealer registered with the Securities and Exchange Commission or the Commodity Futures Trading Commission acting within the course and scope of that regulation; (h) A consumer reporting agency; (i) A person whose primary business is making loans secured by liens on real property; (j) A person, firm, corporation, or association licensed as a collection agency in this state or a person holding a solicitor's certificate in this state acting within the course and scope of that license or certificate; and (k) A person licensed to engage in the business of debt management pursuant to sections 69 - 1201 to 69 - 1217.

Brokerage at the rate of Re1.00 (Rupee one only) per Rs. 100 will be paid to the brokers including PPF and UTI agents registered with the Receiving Office and also to authorized banks on the applications tendered by them on behalf of their clients and bearing their stamp.

«Credit Services Organization» does not include any of the following: (i) a person authorized to make loans or extensions of credit under the laws of this State or the United States who is subject to regulation and supervision by this State or the United States, or a lender approved by the United States Secretary of Housing and Urban Development for participation in a mortgage insurance program under the National Housing Act (12 U.S.C. Section 1701 et seq.); (ii) a bank or savings and loan association whose deposits or accounts are eligible for insurance by the Federal Deposit Insurance Corporation or the Federal Savings and Loan Insurance Corporation, or a subsidiary of such a bank or savings and loan association; (iii) a credit union doing business in this State; (iv) a nonprofit organization exempt from taxation under Section 501 (c)(3) of the Internal Revenue Code of 1986, [FN1] provided that such organization does not charge or receive any money or other valuable consideration prior to or upon the execution of a contract or other agreement between the buyer and the nonprofit organization; (v) a person licensed as a real estate broker by this state if the person is acting within the course and scope of that license; (vi) a person licensed to practice law in this State acting within the course and scope of the person's practice as an attorney; (vii) a broker - dealer registered with the Securities and Exchange Commission or the Commodity Futures Trading Commission acting within the course and scope of that regulation; (viii) a consumer reporting agency; and (ix) a residential mortgage loan broker or banker who is duly licensed under the Illinois Residential Mortgage License Act of 1987.

Second, «mortgage brokers or other third - party originators, already approved by FHA, will be authorized to continue to originate FHA - insured loans through the end of the calendar year without sponsorship of an FHA - approved lender.

The Manitoba Securities Commission (MSC), the financial regulatory body of the Canadian province of Manitoba, issued a warning on Wednesday against binary option broker B4Binary and SG 55 Ltd. which operates without being authorized.

Earlier this year, the Canadian Securities Administrators (CSA), an umbrella organization of Canada's provincial and territorial securities regulators, warned twice there is not a single binary options broker or platform authorized or licensed to operate on the country's territory.

MELA or FAME Student Loan Revenue Bonds described in a Preliminary Official Statement may be offered, if at all, and may be sold, only by means of a final Official Statement provided by broker - dealers authorized and properly registered and licensed to make such offers and sales, and will be made only in accordance with applicable federal and state securities laws.

The brokers and agents are authorized to receive purchase and redemption orders on behalf of the Funds.

In March, the Canadian Securities Administrators (CSA), an umbrella organization of Canada's provincial and territorial securities regulators, warned that there is not a single binary options broker or platform authorized or licensed to operate on the country's territory.

The Adviser is authorized by the Trustees to allocate the orders placed by them on behalf of the Fund to brokers or dealers who may, but need not, provide research or statistical material or other services to the Fund or the Adviser for the Fund's use.

These seemingly opposite interests in ETFs make for a large and lucrative market not just for the ETF operators like BlackRock's iShares and State Street Global Advisors SPDRs, but also for the authorized participants — institutions that can create or redeem large blocks of new shares in an ETF (called creation units) for sale, and countless brokers that profit by trading ETF shares.

You may invest in a fund through an intermediary by placing orders through your brokerage account at Schwab or an account with another broker / dealer, investment adviser, 401 (k) plan, employee benefit plan, administrator, bank, or other financial intermediary (intermediary) that is authorized to accept orders on behalf of the fund (intermediary orders).

For further information on their range of insurance products, visit their website or contact an authorized Guide One broker.

An insurance agent belongs to one insurance company and can sell policies on behalf of that company only, whereas an insurance broker deals with multiple insurance companies and is authorized to sell their products.

There are other professionals working in insurance that also have to get licenses in order to operate on behalf on an insurance company but from a client perspective the important aspect of licensing is that the agent or broker they work with to obtain their insurance policies and coverage is properly authorized and licensed to provide help, advice and insurance policies that meet the requirements of their state or states of residence and operation.

She concluded her defense noting that Standard of Practice 16 - 13 authorizes dealings with the client of another broker when those dealings are initiated by the client.

The right to vote contemplated by this Interpretation shall not be deemed denied to a broker otherwise eligible for REALTOR ® membership if: (1) such broker voluntarily elects a REALTOR ® membership classification authorized by the Board having limited or no voting rights; and (2) at least one principal, partner, officer, or trustee of the firm, partnership, corporation or trust with which such broker is affiliated or by which he is employed is a REALTOR ® Member having full voting rights.

She concluded her defense noting that Standard of Practice 16 - 13 authorizes dealings with the client of another broker in cases where those dealings are initiated by the client.

A supervising broker must provide written notice to licensees of the activities that the broker authorizes for the licensee.

R.C. 4735.18 (A)(34) provides that discipline may be imposed on a licensed real estate broker or salesperson for authorizing or permitting a person to act as an agent in the capacity of a broker or salesperson who was not then licensed as a real estate broker or salesperson.

The court is acquitting a company «that performed actions that gave the impression it was authorized to perform the functions of real estate brokers,» Nadeau said.

The lender, which had taken steps to wind down the business activities of the financially troubled owner, authorized the broker to submit a counteroffer, which was accepted.

Although, in many cases, an associate broker or representative is authorized to sign the listing contract or the management contract on behalf of the brokerage, it is important to keep in mind that the listing or management contract binds the brokerage.

House Bill 747 Real Estate Brokers - Licensure Requirement - Exemption for Lawyers limits an existing licensing exemption for lawyers by requiring that the lawyer is authorized to practice law in the state and is providing real estate brokerage services while representing another person during the course of the lawyer's regular practice of law.

Salvador v. Uncle Sam Auctions & Realty, Inc. (30 A.D. 3d 861)- judgments awarding brokerage commission and counsel's fees affirmed; Supreme Court resolved key factual disputes in favor of broker based upon credible testimony; an award of counsel's fees was authorized by the contract; commission awarded in the amount of $ 87,500.00 and attorney's fees award in the amount of $ 44,500.00; Appellate Division declined to reduce the amount of counsel's fees awarded as excess legal work resulted in large part from unavailing and often unnecessary paths pursued and tactics employed by plaintiff; request for appellate counsel fees should be directed to court of original instance

In the event of the death of a licensed broker, who is the sole proprietor of a real estate business, the board shall, upon application by his legal representative, issue, without examination, a temporary license to such legal representative, or to an individual designated by him and approved by the board, upon the filing of a bond as aforesaid and the payment of the prescribed fee, which shall authorize such temporary licensee to continue to transact said business for a period not to exceed one year from the date of death subject to all other provisions of sections eighty - seven PP to eighty - seven DDD applicable to a licensed broker except that such temporary license shall not be renewed.

Arrange for the return of the licence certificate to the Council's office with the reverse side completed by an authorized signatory of the employing brokerage (e.g. managing broker, director, officer, or partner) stating the date of surrender and the reason for leaving.

(3) If a corporation or partnership commits an offence under this Act, an officer, director, controlling shareholder, partner or managing broker of the corporation or partnership who authorizes, permits or acquiesces in the offence commits the same offence whether or not the corporation or partnership is convicted of the offence.

An MLS (Multiple Listing Service) provides a platform where authorized listing brokers can make unilateral offers of cooperation and compensation to other authorized Members.

730 DOS 02 DOS v. New World Realty of New York, Inc. — availing of license; deposits; disclosure of agency relationships; duty to supervise sales associates; failure to pay judgment; proper business practices; DOS has jurisdiction where disciplinary action was started while individual was licensed as an associate broker and was eligible to automatically renew at the time of the disciplinary hearing; salesperson owned voting stock in licensed corporate real estate broker, failed to pay judgment and failed to present evidence of inability to do so, and engaged in unlicensed activity after license expired; representative broker availed corporate real estate brokers license to salesperson; representative broker failed to properly supervise salesperson by permitting and authorizing salesperson to act as a real estate broker; broker and salesperson failed to make agency disclosures and failed to deposit funds of principal in a special bank account; real estate transaction conducted was a fraudulent business practice; DOS fails to prove the unauthorized practice of law; salesperson's license revoked and salesperson ordered to pay refund of $ 1,406.00 of illegal commission collected; representative broker's license revoked and broker ordered to refund $ 74.00 of illegal commission collected; representative broker fined $ 5,000.00

Your current licence to trade in real estate authorizes you to trade on behalf of the brokerage with which you work for and in the class that you are licensed (i.e. salesperson, broker, etc.).

Salesperson - According to the Real Estate Trading Act, a salesperson is a person employed, appointed or authorized by a broker to trade in real estate on behalf of that Brokerage.

Bichoupan v. Bichoupan (251 A.D. 2d 613)- buyer commences action against broker for misrepresentation as to legal use of premises; broker commences third party action against the seller for indemnification, asserting that seller represented the property to be a legal four - family dwelling in the listing agreement; third party complaint dismissed as seller made no representation in the contract of sale concerning the status of the property and did not authorize the broker to make any such representation with respect to the property.

Seller authorizes Broker, upon execution of a sales contract for the Property, to notify the listing service of the pending, sale details, and upon closing of the sale, to disseminate sales information, including sales price, to the listing service, appraisers, and real estate brokers.

BROKER: Authorized to operate a brokerage and permitted to trade in real estate on behalf of the brokerage.