Clearance of Trades. I understand that Robinhood Financial has entered into a clearing agreement with Robinhood Securities whereby Robinhood Financial will introduce My Account to Robinhood Securities, and Robinhood Securities will clear all transactions, on a fully-disclosed basis. I understand that Robinhood Securities carries My Account(s) and is responsible for the clearing and bookkeeping of transactions, but is not otherwise responsible for the conduct of Robinhood Financial. Until receipt from Me of written notice to the contrary, Robinhood Securities may accept from Robinhood Financial, without inquiry or investigation, (i) orders for the purchase or sale of securities and other property on margin, if I have elected to have a margin account, or otherwise, and (ii) any other instructions concerning my Accounts. Robinhood Securities shall look solely to Robinhood Financial unless otherwise directed by Xxxxxxxxx Financial, and not to Me, with respect to any such orders or instructions; except that I understand that Robinhood Securities will deliver confirmations, statements, and all written or other notices with respect to My Account directly to Me with copies to Robinhood Financial, and that Robinhood Securities will look directly to Me or Robinhood Financial for delivery of margin, payment, or securities. I agree to hold Robinhood Securities harmless from and against any Losses arising in connection with the delivery or receipt of any such communication(s), provided Robinhood Securities has acted in accordance with the above. The foregoing shall be effective as to My Account(s) until written notice to the contrary is received from Me by Robinhood Securities or Robinhood Financial.
Clearance of Trades. The Customer understands that the Broker has entered into a clearing agreement with Apex whereby the Broker will introduce the Customer Account to the Clearing Broker, and the Clearing Broker will clear all transactions, on a fully-disclosed basis. The Customer understands that the Clearing Broker carries the Customer Account(s) and is responsible for the carrying, clearing, custody and bookkeeping of transactions, but is not otherwise responsible for the conduct of the Broker. Until receipt from the Customer of written notice to the contrary, the Clearing Broker may accept from the Broker, without inquiry or investigation, (i) orders for the purchase or sale of securities and other property on margin, if the Customer has elected to have a margin account, or otherwise, and
Clearance of Trades. The Customer understands that FTX has entered into a clearing agreement with Embed Clearing LLC (“Clearing Broker”) whereby FTX will introduce the Customer Account to the Clearing Broker, and the Clearing Broker will clear all transactions, on a fully-disclosed basis. The Customer understand that the Clearing Broker carries the Customer Account(s) and is responsible for the clearing and bookkeeping of transactions, but is not otherwise responsible for the conduct of FTX. Until receipt from the Customer of written notice to the contrary, the Clearing Broker may accept from FTX, without inquiry or investigation, orders for the purchase or sale of securities and any other instructions concerning the Customer Accounts. The Clearing Broker shall look solely to FTX unless otherwise directed by FTX, and not to the Customer, with respect to any such orders or instructions; except that the Customer understands that the Clearing Broker will deliver confirmations, statements, and all written or other notices with respect to the Customer Account directly to the Customer with copies to FTX, and that the Clearing Broker will look directly to the Customer or FTX for delivery of payment, or securities. The foregoing shall be effective as to the Customer Account(s) until written notice to the contrary is received from the Customer by the Clearing Broker or FTX.
Clearance of Trades. I understand that You will clear all transactions for My Account(s) and are responsible for the bookkeeping of transactions. Until receipt from Me of written notice to the contrary, Alpaca may accept without inquiry or investigation, (i) orders for the purchase or sale of securities and other property on margin, if I have elected to have a margin account, or otherwise, and (ii) any other instructions concerning said accounts. The foregoing shall be effective as to My Account until written notice to the contrary is received from Me by Xxxxxx.
Clearance of Trades. I understand that You have entered into a clearing agreement with Electronic Transaction Clearing, Inc. ("ETC") whereby You will introduce My Account to ETC, and ETC will clear all transactions, on a fully-disclosed basis. I understand that ETC carries My Account(s) and is responsible for the clearing and bookkeeping of transactions, but is not otherwise responsible for the conduct of Alpaca. Until receipt from Me of written notice to the contrary, ETC may accept from Alpaca, without inquiry or investigation, (i) orders for the purchase or sale of securities and other property on margin, if I have elected to have a margin account, or otherwise, and (ii) any other instructions concerning said accounts. ETC shall look solely to Alpaca unless otherwise directed by Xxxxxx, and not to Me with respect to any such orders or instructions; except that I understand that ETC will deliver electronically confirmations, statements, and all written or other notices with respect to My Account directly to Me with copies to Alpaca, and that ETC will look directly to Me or Alpaca for delivery of margin, payment, or securities. I agree to hold ETC harmless from and against any losses, costs or expenses arising in connection with the delivery or receipt of any such communication(s), provided ETC has acted in accordance with the above. The foregoing shall be effective as to My Account until written notice to the contrary is received from Me by ETC or Alpaca.
Clearance of Trades. In order to ensure and maintain compliance with this Policy, all transactions in the Company’s securities (acquisitions, dispositions, transfers, etc.), including the execution of Trading Plans (as defined below), by directors, members of Executive Management, financial team members and designated employees must be pre-cleared in advance by the Policy Administrator. If you are a member of one of the groups listed above and you contemplate a transaction in the Company’s securities, you must contact the Policy Administrator or other designated individual prior to executing the transaction. The Policy Administrator will use his reasonable best efforts to provide approval or disapproval as soon as practicable. You must wait until receiving pre-clearance to execute the transaction. Neither the Company nor the Policy Administrator shall be liable for any delays that may occur due to the pre-clearance process. If the transaction is pre-cleared by the Policy Administrator, it must be executed by the end of the second business day after receipt of pre-clearance. Notwithstanding receipt of pre-clearance of a transaction, if you become aware of material nonpublic information after receiving the pre-clearance but prior to the execution of the transaction, you may not execute the transaction. Please note that such pre-clearance does not provide the insider with immunity from investigation or suit; it is the responsibility of the individual to comply with the applicable securities laws and regulations.
Clearance of Trades. The Customer understands that the Broker has entered into a clearing agreement with Apex whereby the Broker will introduce the Customer Account to the Clearing Broker, and the Clearing Broker will clear all transactions, on a fully-disclosed basis. The Customer understands that the Clearing Broker carries the Customer Account(s) and is responsible for the carrying, clearing, custody and bookkeeping of transactions, but is not otherwise responsible for the conduct of the Broker. Until receipt from the Customer of written notice to the contrary, the Clearing Broker may accept from the Broker, without inquiry or investigation, (i) orders for the purchase or sale of securities and other property on margin, if the Customer has elected to have a margin account, or otherwise, and (ii) any other instructions concerning the Customer Accounts. The Clearing Broker shall look solely to the Broker unless otherwise directed by the Broker, and not to the Customer, with respect to any such orders or instructions; except that the Customer understands that the Clearing Broker will deliver confirmations, statements, and all written or other notices with respect to the Customer Account directly to the Customer with copies to the Broker, and that the Clearing Broker will look directly to the Customer or the Broker for delivery of margin, payment, or securities. The foregoing shall be effective as to the Customer Account(s) until written notice to the contrary is received from the Customer by the Clearing Broker or the Broker. For further information please see the Apex Customer Agreement which outlines the terms of the relationship between the Customer, Altruist, and Apex, the clearing firm.
Clearance of Trades. I understand that Xxxxxxx has entered into a clearing agreement with U.S. Broker whereby Xxxxxxx will introduce My Account to U.S. Broker, and Xxxxxxx will clear all transactions, on a fully-disclosed basis. I understand that U.S. Broker carries My Account(s) and is responsible for the clearing and bookkeeping of transactions, but is not otherwise responsible for the conduct of Galaxie. I understand that U.S. Broker will deliver confirmations, statements, and all written or other notices with respect to My Account directly to Me with copies to Xxxxxxx, and that U.S. Broker will look directly to Me or Galaxie for delivery of margin, payment, or securities. I agree to hold U.S. Broker and Xxxxxxx harmless from and against any Losses arising in connection with the delivery or receipt of any such communication(s), provided U.S. Broker has acted in accordance with the above. The foregoing shall be effective as to My Account(s) until written notice to the contrary is received from Me by U.S. Broker or Xxxxxxx.
Clearance of Trades. I understand that You have entered into separate clearing agreements with each Custodian whereby You will introduce My Account to a Custodian, and such Custodian will clear all transactions, on a fully-disclosed basis. I understand that the Custodian carries My Account(s) and is responsible for the clearing and bookkeeping of transactions, but is not otherwise responsible for the conduct of Avenue Securities. Until receipt from Me of written notice to the contrary, the Custodian may accept from Avenue Securities, without inquiry or investigation, (i) orders for the purchase or sale of securities and other property on margin, if allowed by Avenue Securities and I have elected to have a margin account, or otherwise, and (ii) any other instructions concerning My Accounts. The Custodian shall look solely to Avenue Securities unless otherwise directed by Avenue Securities, and not to Me, with respect to any such orders or instructions; except that I understand that the Custodian will deliver confirmations, statements, and all written or other notices with respect to My Account directly to Me with copies to Avenue Securities, and that the Custodian will look directly to Me or Avenue Securities for delivery of margin, payment, or securities, as applicable. I agree to hold the Custodian harmless from and against any Losses arising in connection with the delivery or receipt of Confiável (conforme definido pela Regra da FINRA 4512) designada para a Minha Conta e a divulgar informações sobre a Minha conta para abordar uma possível exploração financeira, a confirmar detalhes sobre as informações de contato atuais do cliente, a condição de saúde ou a identidade de qualquer responsável legal, executor, provedor ou detentor de uma procuração, ou de outro modo permitido pela Regra 2165.
Clearance of Trades. The Personal Securities Investments Policy (referenced above) requires certain employees to receive pre-approval from Corporate Compliance prior to executing certain personal securities transactions. Pre-trade approval employees receive quarterly reminders of their responsibilities under the policy. The Financial Agent intends to expand the list of pre-approval employees to include employees designated to perform services under this FAA, except for General Service Personnel.
