Betekenis van:
broker-dealer

Voorbeeldzinnen

1. investment firm, dealer, broker, adviser or manager,
2. Broker and dealer services in the Oporto Derivatives Exchange and in the OTC market may not be provided by branches of non-EC broker/dealer companies.
3. Broker and dealer services in the Oporto Derivatives Exchange and in the OTC market may not be provided by branches of non-EC broker/dealer companies.
4. LBBW Securities LLC (broker/dealer) (sale/closure envisaged by the end of […])
5. investment firm, dealer, broker, adviser or manager, life assurance and collective investment scheme intermediary,
6. A copy of the contract or evidence of the contract (or a declaration certifying its existence) between the producer, new producer or collector and the broker or dealer, in the event that the broker or dealer acts as notifier.
7. Broker-dealer services on the Lisbon Stock Exchange may be provided by broker and dealer companies incorporated in Portugal or by branches of investment firms authorised in another EC country and authorised in their home country to provide those services.
8. As a particularly large disinvestment Germany mentions the sale of LBBW Securities LLC (broker/dealer), […] and LRI Invest SA.
9. For the application of paragraph 6, the market values are the quoted prices when such prices are available from an exchange, dealer or a broker or similar entities.
10. In circumstances of illegal shipment notified by a dealer or broker specified in (iv) or (v), the person specified in (i), (ii) or (iii) who authorised that dealer or broker to act on his/her behalf shall be deemed to be the notifier for the purposes of this Regulation;
11. ING Insurance Americas offers life and non-life insurance, retirement services (primarily defined contribution plans), annuities, mutual funds, broker-dealer services and institutional products, including group reinsurance and institutional asset management products and services.
12. For the purposes of this Directive, “broker” shall mean any natural or legal person, other than a dealer, whose trade or business consists wholly or partly in the buying, selling or arranging the transfer of weapons.’;
13. ‘waste management’ means the collection, transport, recovery and disposal of waste, including the supervision of such operations and the after-care of disposal sites, and including actions taken as a dealer or broker;
14. PT: The services of venture capital may not be provided by branches of venture capital companies having their head office in a non-EC country. Broker-dealer services on the Lisbon Stock Exchange may be provided by broker and dealer companies incorporated in Portugal or by branches of investment firms authorised in another EC country and authorised in their home country to provide those services.
15. As a particularly large disinvestment Germany mentions the sale of LBBW Securities LLC (broker/dealer), […] and LRI Invest SA. LBBW Securities LLC is a member of the US National Association of Securities Dealers and has a licence there for equity sales und private placements.