Extension of Credit. Responsibility for compliance with the provisions of Regulation T issued by the Board of Governors of the Federal Reserve System pursuant to the Securities Exchange Act of 1934 ("Regulation T") and all other applicable rules, regulations and requirements of any exchange or regulatory agency affecting the extension of credit shall be allocated between Southwest and Correspondent as set forth in this Section 3.
Appears in 4 contracts
Samples: Disclosed Clearing Agreement (All Tech Investment Group Inc /De/), Disclosed Clearing Agreement (Raike Financial Group Inc/Ga), Disclosed Clearing Agreement (Davis & Associates)
Extension of Credit. Responsibility for compliance with the provisions of Regulation T T, issued by the Board of Governors of the Federal Reserve System pursuant to the Securities Exchange Act of 1934 ("βRegulation T") β), and all other applicable rules, regulations and requirements of any exchange or regulatory agency affecting the extension of credit shall be allocated between Southwest FSWC and Correspondent CLAY as set forth in this Section 3.
Appears in 2 contracts
Samples: Fully Disclosed Clearing Agreement (Clayton Dunning Group), Fully Disclosed Clearing Agreement (Clayton Dunning Group)
Extension of Credit. Responsibility for compliance with the provisions of Regulation T issued by the Board of Governors of the Federal Reserve System pursuant to the Securities Exchange Act of 1934 ("Regulation T") and all other applicable rules, regulations and requirements of any exchange or regulatory agency affecting the extension of credit shall be allocated between Southwest and Pensxx xxx Correspondent as set forth in this Section 3.
Appears in 2 contracts
Samples: Penson Worldwide Inc, Penson Worldwide Inc
Extension of Credit. Responsibility for compliance with the provisions of Regulation T issued by the Board of Governors of the Federal Reserve System pursuant to the Securities Exchange Act of 1934 ("Regulation T") and all other applicable rules, regulations and requirements of any exchange or regulatory agency affecting the extension of credit shall be allocated between Southwest Penson and Correspondent as set forth in this Section 3.
Appears in 1 contract
Samples: Fully Disclosed Clearing Agreement (Rush Financial Technologies Inc)
Extension of Credit. Responsibility Responsixxxxxx for compliance with the provisions of Regulation T issued by the Board of Governors of the Federal Reserve System pursuant to the Securities Exchange Act of 1934 ("Regulation T") and all other applicable rules, regulations and requirements of any arty exchange or regulatory agency affecting the extension of credit shall be allocated between Southwest Penson and Correspondent as set forth in this Section 3.
Appears in 1 contract
Samples: Disclosed Clearing Agreement (Empire Financial Holding Co)
Extension of Credit. Responsibility for compliance with the provisions of Regulation T T, issued by the Board of Governors of the Federal Reserve System pursuant to the Securities Exchange Act of 1934 ("Regulation T") ), and all other applicable rules, regulations and requirements of any exchange EXCHANGE or regulatory agency affecting the extension of credit shall be allocated between Southwest FSWC and Correspondent ALEX as set forth in this Section 3.
Appears in 1 contract
Samples: Fully Disclosed Clearing Agreement (Financial Commerce Network Inc)
Extension of Credit. Responsibility for compliance with the provisions of Regulation T issued by the Board of Governors of the Federal Reserve System pursuant to the Securities Exchange Act of 1934 ("Regulation T"7) and all other applicable rules, regulations and requirements of any exchange or regulatory agency affecting the extension of credit shall be allocated between Southwest Xxxxxx and Correspondent as set forth in this Section 3.
Appears in 1 contract
Samples: Fully Disclosed Clearing Agreement (Internet Financial Services Inc)
