Compliance with Laws and Rules. Client understands and agrees that it is the responsibility of Client, and not Broker or Issuer, to determine whether this Trading Plan meets the requirements of Rule 10b5-1 and any other applicable federal or state laws or rules.
Appears in 5 contracts
Samples: Trading Plan (Hampstead Park Capital Management, LLC), Trading Plan (Hampstead Park Environmental Services Investment Fund LLC), Trading Plan (Ligand Pharmaceuticals Inc)
Compliance with Laws and Rules. Client understands and agrees that it is the responsibility of Client, and not Broker or Issuer, to determine whether this Trading Plan meets the requirements of Rule 10b5-1 1(c) and any other applicable federal or state laws or rules.
Appears in 5 contracts
Samples: Trading Plan (Collins David C), Trading Plan (Collins David C), Trading Plan (Karma Media Inc)
Compliance with Laws and Rules. Client understands Clients understand and agrees agree that it is the responsibility of ClientClients, and not Broker or Issuer, to determine whether this Trading Plan meets the requirements of Rule 10b5-1 and any other applicable federal or state laws or rules.
Appears in 2 contracts
Samples: Trading Plan (Brandon Limited Partnership No.1), Trading Plan (Brandon Limited Partnership No.1)
Compliance with Laws and Rules. Client understands and agrees that it is the responsibility of Client, and not Broker or Issuer, to determine whether this the Trading Plan meets the requirements of Rule 10b5Rule10b5-1 1(c) and any other applicable federal or state laws or rules.
Appears in 1 contract
Samples: Trading Plan (Omega Protein Corp)
Compliance with Laws and Rules. Client understands and agrees that it is the responsibility of Client, and not Broker or IssuerBroker, to determine whether this Trading Plan meets the requirements of Rule 10b5-1 of the Exchange Act and any other applicable federal or state laws or rules.
Appears in 1 contract
Compliance with Laws and Rules. Client understands and agrees that it is the responsibility of Client, and not Broker or Issuer, to determine whether this Trading Plan meets the requirements of Rule 10b5Rule10b5-1 1(c) and any other applicable federal or state laws or rules.
Appears in 1 contract
Samples: Trading Plan (Omega Protein Corp)
