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List of Brokers Clause Examples for Any Agreement

List of Brokers.ĚýMax Communications - Rxxxxxx Xxxxxxxx $50,000 of common restricted stock at $0.14 per share with piggyback registration rights
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List of Brokers.ĚýWestminster Securities Corporation has acted as Placement Agent to the Company and as such shall receive compensation of: (i) cash commission of ten percent (10%) of the gross proceeds of each Closing, and (ii) warrants to purchase 10% of the number of Shares issuable in connection with Preferred Stock and Warrants sold at each Closing, exercisable at the same price paid or payable by the Investors.
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List of Brokers.ĚýUpon execution of this Agreement, FRC will provide FoodEx with a current list of brokers utilized by FRC for marketing Product. FoodEx may contact and utilize the services of these brokers in order to attempt to expand markets for Product and its derivatives.
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List of Brokers.ĚýUpon execution of this Agreement, Cal Pacific will provide FoodEx with a current list of brokers utilized by Cal Pacific for marketing Product. FoodEx may contact and utilize the services of these brokers in order to attempt to expand markets for Product and its derivatives.
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List of Brokers.ĚýBNY CONVERGEX EXECUTION SOLUTIONS LLC MARKETS: U.S. equities & global fixed income. CONVERGEX GLOBAL MARKETS Global portfolio trading & global block trading, list & single stock trading. G-TRADE Global equities. PERSHING Global equities and fixed income. ANDISA SECURITIES South African and Namibian listed securities. BBY LIMITED Australian equities. BOE SECURITIES U.S. equities (emerging broker). XXXXXXXXXX & XXXXXX INC. North America, Europe, Asia, emerging markets, 24hr trading desk. CIBC WORLD MARKETS Canadian firms trading in Canadian securities only. COMMISSION DIRECT INC. Canada. COMMONWEALTH SECURITIES LTD Australian and New Zealand equities. CREDIT AGRICOLE CHEUVREUX NORTH AMERICA, INC. UK, Ireland, Spain, Portugal, Italy, Greece, Austria, France, Belgium, Netherlands, Germany, Stockholm, Finland, Norway, Austria, Poland, Czech Republic, Hungary, and Denmark. Applicable for U.S. domiciled managers trading through New York. DBS XXXXXXX SECURITIES, DBSV- iDirect Singapore, Hong Kong, Indonesia, Thailand, Malaysia, Korea, Philippines. EXANE BNP PARIBAS UK and developed Europe. HEFLIN & CO., LLC U.S. Equities. HSBC SECURITIES U.S., Canada, UK, Europe, Asia, Australia, New Zealand, emerging markets (ex Latin America, India, Korea, Taiwan). Global program trading available. ICAP U.S. Equities. IMPERIAL CAPITAL LLC U.S. equities. INSTINET, LLC U.S., Canada, UK, Europe, Australia, New Zealand, Asia, emerging markets; Greece, India, Indonesia, Korea, Malaysia, Mexico, Philippines, Thailand, Turkey. Global program trading available. ITG INC. Global equities. XXXXXXX XXXXX Only U.S. equities for U.S domiciled managers are eligible for commission recapture credit. ADRs and GDRs are not eligible for commission recapture credit. NATIXIS BLEICHROEDER, INC. Global portfolio trading. Only global portfolio trades through New York desk are eligible. OCBC SECURITIES PRIVATE LTD Singapore SGX. XXXXXXX SECURITIES PTE LTD Singapore, Hong Kong, Japan and Indonesian equities. NEONET Europe, Asia and North America. NORDEA BANK Sweden, Finland, Denmark, Norway, Europe. Not applicable for Scandinavian managers or clients. XXXXX XXXXXXX & CO. U.S. equities. SG SECURITIES UK, Europe, Asia (ex Japan, Malaysia), emerging markets; South Africa, Czech, Egypt, Estonia, Greece, Hungary, Poland, Turkey, Argentina, Brazil, Mexico. WJB CAPITAL GROUP INC. Global equities.
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Related to List of Brokers

  • Selection of Brokers The Sub-adviser is authorized to select the brokers or dealers that will execute the purchases and sales of portfolio securities and other property for a Fund in a manner that implements the policy with respect to brokerage set forth in the Prospectus and Statement of Additional Information for the Fund or as the Board of Directors or the Investment Manager may direct from time to time and in conformity with federal securities laws. In executing Fund transactions and selecting brokers or dealers, the Sub-adviser will use its best efforts to seek on behalf of the Fund the best overall terms available. In assessing the best overall terms available for any transaction, the Sub-adviser shall consider all factors that it deems relevant, including the breadth of the market in the security, the price of the security, the financial condition and execution capability of the broker or dealer, and the reasonableness of the commission, if any, both for the specific transaction and on a continuing basis. In evaluating the best overall terms available, and in selecting the broker-dealer to execute a particular transaction, the Sub-adviser may also consider the brokerage and research services provided (as those terms are defined in Section 28(e) of the Securities Exchange Act of 1934). Consistent with any guidelines established by the Board of Directors and communicated to the Sub-adviser, the Sub-adviser is authorized to pay to a broker or dealer who provides such brokerage and research services a commission for executing a portfolio transaction for a Fund that is in excess of the amount of commission another broker or dealer would have charged for effecting that transaction if, but only if, the Sub-adviser determines in good faith that such commission was reasonable in relation to the value of the brokerage and research services provided by such broker or dealer viewed in terms of that particular transaction or terms of the overall responsibilities of the Sub-adviser to the Fund. In addition, the Sub-adviser is authorized to allocate purchase and sale orders for securities to brokers or dealers (including brokers and dealers that are affiliated with the Investment Manager, Sub-adviser or the Company's principal underwriter) to take into account the sale of shares of the Company if the Sub-adviser believes that the quality of the transaction and the commission are comparable to what they would be with other qualified firms. In no instance, however, will Fund assets be purchased from or sold to the Investment Manager, Sub-adviser, the Company's principal underwriter, or any affiliated person of either the Company, the Investment 4 Manager, Sub-adviser or the principal underwriter, acting as principal in the transaction, except to the extent permitted by the Securities and Exchange Commission ("SEC") and the 1940 Act.

  • Finders; Brokers Except as set forth on Section 4.15 of the Sellers Disclosure Letter, no agent, broker, Person or firm acting on behalf of the Purchased Companies, Sellers or any of their respective Affiliates is, or shall be, entitled to any broker’s fees, finder’s fees or commissions from Purchaser in connection with this Agreement or any of the transactions contemplated hereby.

  • Real Estate Brokers (See also Paragraph 15)

  • No Brokers The Company has taken no action which would give rise to any claim by any person for brokerage commissions, transaction fees or similar payments relating to this Agreement or the transactions contemplated hereby.

  • Allocation of Brokerage The Subadviser shall have authority and discretion to select brokers and dealers to execute Designated Series transactions initiated by the Subadviser, and to select the markets on or in which the transactions will be executed. A. In placing orders for the sale and purchase of Designated Series securities for the Fund, the Subadviser’s primary responsibility shall be to seek the best execution of orders at the most favorable prices. However, this responsibility shall not obligate the Subadviser to solicit competitive bids for each transaction or to seek the lowest available commission cost to the Fund, so long as the Subadviser reasonably believes that the broker or dealer selected by it can be expected to obtain a “best executionâ€� market price on the particular transaction and determines in good faith that the commission cost is reasonable in relation to the value of the brokerage and research services (as defined in Section 28(e)(3) of the Securities Exchange Act of 1934) provided by such broker or dealer to the Subadviser, viewed in terms of either that particular transaction or of the Subadviser’s overall responsibilities with respect to its clients, including the Fund, as to which the Subadviser exercises investment discretion, notwithstanding that the Fund may not be the direct or exclusive beneficiary of any such services or that another broker may be willing to charge the Fund a lower commission on the particular transaction. B. The Subadviser may manage other portfolios and expects that the Fund and other portfolios the Subadviser manages will, from time to time, purchase or sell the same securities. The Subadviser may aggregate orders for the purchase or sale of securities on behalf of the Designated Series with orders on behalf of other portfolios the Subadviser manages. Securities purchased or proceeds of securities sold through aggregated orders, as well as expenses incurred in the transaction, shall be allocated to the account of each portfolio managed by the Subadviser that bought or sold such securities in a manner considered by the Subadviser to be equitable and consistent with the Subadviser’s fiduciary obligations in respect of the Designated Series and to such other accounts. C. The Subadviser shall not execute any Series transactions for the Designated Series with a broker or dealer that is (i) an “affiliated personâ€� (as defined in the Act) of the Fund, the Subadviser, any subadviser to any other Series of the Fund, or the Adviser; (ii) a principal underwriter of the Fund’s shares; or (iii) an affiliated person of such an affiliated person or principal underwriter; in each case, unless such transactions are permitted by applicable law or regulation and carried out in compliance with any applicable policies and procedures of the Fund. The Fund shall provide the Subadviser with a list of brokers and dealers that are “affiliated personsâ€� of the Fund or the Adviser, and applicable policies and procedures. D. Consistent with its fiduciary obligations to the Fund in respect of the Designated Series and the requirements of best price and execution, the Subadviser may, under certain circumstances, arrange to have purchase and sale transactions effected directly between the Designated Series and another account managed by the Subadviser (“cross transactionsâ€�), provided that such transactions are carried out in accordance with applicable law or regulation and any applicable policies and procedures of the Fund. The Fund shall provide the Subadviser with applicable policies and procedures.