DISCLOSURES TO ISSUERS. Betterment Securities is required, upon request, to disclose to an issuer the name, address, and position of each customer who is a beneficial owner of that issuer's securities unless Client objects in writing. Betterment Securities maintains this practice as part of it compliance with Rule 14b-1 under the Securities Exchange Act of 1934. Unless Client notifies Betterment Securities of such objection in writing, Betterment Securities will make such disclosures to issuers.
Appears in 8 contracts
Samples: Betterment Client Agreements, Betterment Client Agreements, Betterment Client Agreements
DISCLOSURES TO ISSUERS. Betterment Securities is required, upon request, to disclose to an issuer the name, address, and position of each customer who is a beneficial owner of that issuer's securities unless Client objects in writing. Betterment Securities maintains this practice as part of it compliance with Rule 14b-1 under the Securities Exchange Act of 1934Act. Unless Client notifies Betterment Securities or Betterment of such objection in writing, Betterment Securities will make such disclosures to issuers.
Appears in 3 contracts
Samples: Betterment Client Agreements, Betterment Client Agreements, Sub Advisory Agreement
