Control or Restricted Securities. Prior to placing an order in connection with any securities subject to Rule 144 or 145(d) under the Securities Act of 1933, you must advise your broker of the status of the securities and you must furnish us with the necessary documents (including legal opinions) to clear legal transfer. You acknowledge that there may be delays involved with the processing of control or restricted securities and that you will not hold Firstrade or Apex liable for any losses caused directly or indirectly by such delays. Firstrade and/or Apex may require, in our discretion, that control or restricted securities not be sold or transferred until such securities clear legal transfer. Firstrade and/or Apex reserve the right in their sole discretion to refuse to process the legal transfer of any control or restricted securities or any security which bears a restrictive legend.
Control or Restricted Securities. Prior to placing an order for securities subject to Rule 144 or 145 of the Securities Act of 1933, you must identify the status of the securities, and furnish us with the necessary documents to obtain approval to transfer and register these securities. There may be delays in processing these securities, and we will not be liable for any losses caused directly or indirectly by any delays. We may decline to accept an order for these securities until the transfer and registration of such securities has been approved.
Control or Restricted Securities. Prior to placing an order in connection with any securities subject to Rule 144 or 145(d) of the Securities Act of 1933, you shall advise TradeStation Securities of the status of the securities and furnish us with the necessary documents to clear legal transfer. You acknowledge that there may be delays involved with the processing of control or restricted securities and that TradeStation Securities will not be liable for any losses caused directly or indirectly by such delays. TradeStation Securities may, in its sole discretion, require that control or restricted securities not be sold or transferred until such securities clear legal transfer.
Control or Restricted Securities in your Account, whether carried individually or jointly with others, to buy any and/or all assets which may be short, to cancel any open orders, and to close any or all outstanding contracts, all without notice of sale or purchase or other notice or advertisement. Any such sales or purchases may be made at our discretion on any exchange or other market, or at public auction or private sale, and we may be the Prior to placing an order for securities subject to Rule 144 or 145 of the Securities Act of 1933, you must identify the status of the securities, and furnish us with the necessary documents to obtain approval to transfer and register these securities. There may be delays in processing these securities, and we will not be liable for any losses caused directly or indirectly by any delays. We may decline to accept an order for these securities until the transfer and registration of such securities has been approved.
Control or Restricted Securities. NMIS may, in its sole discretion, accept or refuse orders for securities subject to Rule 144 or Rule 145(d) of the Securities Act of 1933, as amended. Prior to placing an order in connection with the sale or transfer of any securities subject to Rule 144 or Rule 145(d) of the Securities Act of 1933, as amended, you must advise NMIS of the status of the securities and furnish NMIS with the necessary documents (including opinions of legal counsel, if requested) to clear Xxxxxxxx’x legal transfer. Even if the necessary documents are furnished in a timely manner, there may be delays with the processing of such securities. NMIS or Pershing, in their discretion, may require that such securities not be sold or transferred until they clear legal transfer. You are responsible for all costs associated with compliance or failure to comply with all the requirements of Rules 144 and 145(d).
Control or Restricted Securities. Prior to placing an order in connection with any securities subject to Rule 144 or 145(d) of the Securities Act of 1933, as amended, you shall advise the Clearing Agent Group of the status of the securities and furnish it with the necessary documents to clear legal transfer. You acknowledge that there may be delays involved with the processing of control or restricted securities and that the Clearing Agent Group will not be liable for any losses caused directly or indirectly by such delays. The Clearing Agent Group may in its sole discretion, require that control or restricted securities not be sold or transferred until such securities clear legal transfer.
Control or Restricted Securities. Scottrade does not generally handle the sale of control or restricted securities. You agree not to enter sell orders with Scottrade for securities that are subject to Rule 144 or 145(d) of the Securities Act of 1933. You agree to pay for any loss Scottrade may incur in closing out any such intentional or unintentional sales. If you elect to deposit any control or restricted securities in your Account, you understand and agree that you will not sell such securities through your Account.
