Common use of Compliance Procedures Clause in Contracts

Compliance Procedures. Broker agrees to supervise compliance with the applicable Rules. Broker shall review transactions and accounts to assure compliance with prohibitions against manipulative practices and insider trading and othxx xxxxxxxxxxxs of federal and state law and applicable regulatory and self-regulatory rules and regulations to which Broker or its customer are subject. Without limiting the above, Broker shall be responsible for compliance with the supervisory requirements in Section 15(b)(4) of the Securities Exchange Act of 1934, as amended, NASD Rule 3010, NYSE Rules 342, 351 and 431, and similar rules adopted by any other regulatory or self-regulatory agency or organization, to the extent applicable.

Compliance Procedures. Broker agrees to supervise compliance with the applicable Rules. Broker shall review transactions and accounts to assure compliance with prohibitions against manipulative practices and insider trading xxxxxxx xxxxxxx and othxx xxxxxxxxxxxs other requirements of federal and state law and applicable regulatory and self-regulatory rules and regulations to which Broker or its customer are subject. Without limiting the above, Broker shall be responsible for compliance with the supervisory requirements in Section 15(b)(4) of the Securities Exchange Act of 1934, as amended, NASD Rule 3010, NYSE Rules 342, 351 and 431, and similar rules adopted by any other regulatory or self-regulatory agency or organization, to the extent applicable.

Compliance Procedures. Broker agrees to supervise compliance with complixxxx xith the applicable Rules. Broker shall review transactions and accounts to assure compliance with prohibitions against manipulative practices and insider trading and othxx xxxxxxxxxxxs of federal other requixxxxxxx xx xxderal and state law and applicable regulatory and self-regulatory rules and regulations to which Broker or its customer are subject. Without limiting the above, Broker shall be responsible for compliance with the supervisory requirements in Section 15(b)(4) of the Securities Exchange Act of 1934, as amended, NASD Rule 3010, NYSE Rules 342, 351 and 431, and similar rules adopted by any other regulatory or self-regulatory agency or organization, to the extent applicable.

Compliance Procedures. Broker agrees to supervise compliance with the applicable --------------------- Rules. Broker shall review transactions and accounts to assure compliance with prohibitions against manipulative practices and insider trading and othxx xxxxxxxxxxxs other requirements of federal and state law axx xxxxxxxxxx xegulatory and applicable regulatory and self-self- regulatory rules and regulations to which Broker or its customer are subject. Without limiting the above, Broker shall be responsible for compliance with the supervisory requirements in Section 15(b)(4) of the Securities Exchange Act of 1934, as amended, NASD Rule 3010, NYSE Rules 342, 351 and 431, and similar rules adopted by any other regulatory or self-regulatory agency or organization, to the extent applicable.

Compliance Procedures. Broker agrees to supervise compliance with the applicable Rules. Broker shall review transactions and accounts to assure compliance with prohibitions against manipulative practices and insider trading ixxxxxx xxxxxxx and othxx xxxxxxxxxxxs other requirements of federal and state law and applicable regulatory and self-regulatory rules and regulations to which Broker or its customer are subject. Without limiting the above, Broker shall be responsible for compliance with the supervisory requirements in Section 15(b)(4) of the Securities Exchange Act of 1934, as amended, NASD Rule 3010, NYSE Rules 342, 351 and 431, and similar rules adopted by any other regulatory or self-regulatory agency or organization, to the extent applicable.