Brokerage Account. Seller shall open a sole-purpose UBSFS brokerage account in the name of and for the benefit of Seller (the “Plan Account”), prior to acceptance and approval of this Trading Plan by UBSFS 10b5-1 Group.
Brokerage Account. If any of the Collateral is, or is maintained in, a Brokerage Account, such Brokerage Account is a valid and legally binding obligation of the Institution with which such Brokerage Account is maintained, the securities entitlements credited thereto are valid and genuine and are enforceable in accordance with their terms and Pledgor has provided the Bank with a complete and accurate statement of the financial assets and money credited to such Brokerage Account as of the date hereof.
Brokerage Account. The Company must have a brokerage account with the Underwriter prior to the date on which the Company delivers a Capital Demand Notice, into which account the proceeds of any sale of Common Stock, net of any amounts payable under Section 2.4(d), shall be deposited.
Brokerage Account. (S): No partner may be a broker. PI may open SIPC (Securities Investors Protection Corporation) insured brokerage account(s) and enter into such agreements as required by the broker(s) for the purchase or sale of securities. All PI securities shall be held in street name in PI's Brokerage Account(s), registered to Pacific Investors. Funds in said account(s) may be paid by check, signed by the Presiding Partner or Financial Partner. The Presiding Partner or Financial Partner may place PI trades and move monies freely between PI's SIPC insured brokerage accounts.
Brokerage Account. 9.1. A Trade Confirmation in respect of any Transaction made by the Customer and in respect of any open position closed by the Bank or the Independent Broker for the Customer will be made available to the Customer by the Independent Broker through the Investment Module. Trade Confirmations will normally be available instantly following the execution of the Transaction.
9.2. The Independent Broker creates an Account and updates it periodically through the Investment Module.
9.3. The Customer is obliged to verify the contents of each document including documents available via the Investment Module (including, without limitation, Trade Confirmations or Investment Account Statements) or/and otherwise sent in electronic form from the Bank or/and the Independent Broker. Such documents shall, in the absence of manifest error, be deemed conclusive unless the Customer notifies the Bank in writing to the contrary immediately after having received such document, so that the Bank may take required steps to contact the Independent Broker. In the event that the Customer believes to have entered into a Transaction, which should have produced a Trade Confirmation or otherwise a posting on the Customer’s account, but the Customer has not received such confirmation, the Customer shall inform the Bank immediately when the Customer, in his/her view, ought to have received such confirmation. In the absence of such information the Transaction may at the Bank’s or the Independent Broker’s reasonable discretion be deemed non-existent.
9.4. For the avoidance of any doubt, irrespective of anything to the contrary, the Investment Account Statement/Trade Confirmation is provided without representation or warranty of any kind (neither expressed nor implied) and the Bank disclaims liability for any and all such information not being complete, accurate, current, suitable and relevant for the Customer. It is the Customer’s sole responsibility to carry out its own due diligence on Investment Account Statement/Trade Confirmation to ensure their completeness, accuracy, currency or/and suitability for onward use. The Bank shall not be held liable for the accuracy of any market quotations, any delay, inaccuracy, error, interruption or omission in the Investment Account Statement/Trade Confirmation. The Bank gives no guarantee against, and assumes no liability related to the Investment Account Statement/Trade Confirmation or/and information contained therein being outdated. Further, the Bank i...
Brokerage Account. The Heirs undertake to open and maintain a brokerage account at the Broker for a period no shorter than until the lapse of the later of: (i) the last Call Option Period; or (ii) LTIP Term (the “Brokerage Account”). Such Brokerage Account shall be jointly opened and maintained for all the Heirs and all the Call Option Shares to which the Heir will be entitled to receive shall be transferred to such a Brokerage Account.
Brokerage Account. The Participant understands that the Participant must open and maintain a brokerage account with Daiwa Securities Co., Ltd., MCC’s designated broker (the “Broker”), to own or sell the Shares. Upon request, the Participant will promptly provide to the Broker information necessary for the Broker to open and maintain the brokerage account for the Participant. The Participant acknowledges that the Participant’s brokerage account, once opened, is maintained by the Broker for the sole and exclusive benefit of the Participant as an individual to own and sell the Shares, and that the Broker has no obligation to honor a request by the Participant to transfer beneficial ownership of any or all of the Shares to any family member (as defined in Rule 701 of the Securities Act, which includes a trust in which the Participant or the Participant’s family members have more than 50% of the beneficial interests or any other entity in which the Participant or the Participant’s family members own more than 50% of the voting interests) of the Participant. The Participant further understands that being an employee of the Participating Company is a precondition for the Participant to maintain the brokerage account with the Broker and that the Broker shall have no obligation to maintain such account after a thirty (30) -day grace period from the one (1) -year anniversary of the termination of the Participant’s Services with the Participating Company for any reason.
Brokerage Account. A self-directed Cash Account, or a Margin Account, with or without an Options Trading Feature. d. Business Day. Monday through Friday, excluding stock exchange holidays. e.
Brokerage Account. The Partnership may select a broker for the purpose of opening a brokerage account. Funds in the account shall be withdrawn by checks signed by any partner designated by the Partnership.
Brokerage Account. Any claim or controversy arising out of, or relating to services provided by Ameriprise Financial Services, LLC related to the brokerage account established within the Account will be resolved by arbitration before the Financial Industry Regulatory Authority as set forth in the pre- dispute arbitration provision in the brokerage agreement governing your brokerage account, hereby is incorporated by reference into this Agreement.
