Broker - Law Dictionary Search Results
Subject to contract
to the transaction taking place between the parties, Coope v. Ridout, (1921) 1 Ch 291. Means that the broker is not to be deemed to have performed his duty until a binding contract has been entered into,
Bad-boy provision
any type of exemption from registering their securities. Such clauses typically prohibit issuers, officers, directors, control persons, or broker dealers from being involved in a limited offering if they have been the subject of an adverse proceeding
Factor
is intrusted with the possession and control of the goods and in these respects he differs from a broker
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Schatchen
A person whose business is marriage brokage a marriage broker esp among certain Jews
up front charges
fees charged to homeowners by the lender at the time of closing a mortgage loan. This includes points, broker's fees, insurance, and other charges. Source: U.S. Department of Housing and Urban Development
agent
owners usually for a commission d : an independent sales or service representative of an insurance company compare broker 4 a : a representative, emissary, or official of a government [a diplomatic ] b : an employee
cause
cause in this entry legal cause : proximate cause in this entry procuring cause : one (as a broker) that sets in motion a continuous series of events culminating esp. in the sale or leasing of real
dealer
that buys and sells securities for his or her or its own account and not for others compare broker
discount
to give or make discounts [dis-kant] adj 1 a : selling goods or services at a discount [a broker] b : offered or sold at a discount [ securities] 2 : reflecting a discount [the price]
finder
may act as a go-between for but does not participate in subsequent negotiations between the involved parties compare broker
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