Extension of Credit. Responsibility for compliance with the provisions of Regulation T issued by the Board of Governors of the Federal Reserve System pursuant to the Securities Exchange Act of 1934 ("Regulation T") and all other applicable rules, regulations and requirements of any exchange or regulatory agency affecting the extension of credit shall be allocated between Southwest and Correspondent as set forth in this Section 3.
Appears in 4 contracts
Samples: Fully Disclosed Clearing Agreement (Raike Financial Group Inc/Ga), Fully Disclosed Clearing Agreement (Raike Financial Group Inc/Ga), Fully Disclosed Clearing Agreement (Davis & Associates)
Extension of Credit. Responsibility for compliance with the provisions of Regulation T issued by the Board of of. Governors of the Federal Reserve System pursuant to the Securities Exchange Act of 1934 ("“Regulation T"”) and all other applicable rules, . regulations and requirements of any exchange or regulatory agency affecting the extension of credit shall be allocated between Southwest Apex and Correspondent as set forth in this Section 3.
Appears in 2 contracts
Samples: Fully Disclosed Clearing Agreement (Webull Corp), Fully Disclosed Clearing Agreement (Webull Corp)
Extension of Credit. Responsibility for compliance with the provisions of Regulation T issued by the Board of Governors of the Federal Reserve System pursuant to the Securities Exchange Act of 1934 ("Regulation T") and all other applicable rules, regulations and requirements of any exchange or regulatory agency affecting the extension of credit shall be allocated between Southwest and Pensxx xxx Correspondent as set forth in this Section 3.
Appears in 2 contracts
Samples: Fully Disclosed Clearing Agreement (Penson Worldwide Inc), Fully Disclosed Clearing Agreement (Penson Worldwide Inc)
Extension of Credit. Responsibility for compliance with the provisions of Regulation T issued by the Board of Governors of the Federal Reserve System pursuant to the Securities Exchange Act of 1934 ("“Regulation T"”) and all other applicable rules, regulations and requirements of any exchange or regulatory agency affecting the extension of credit shall be allocated between Southwest Apex and Correspondent as set forth in this Section 3.
Appears in 2 contracts
Samples: Omnibus Clearing Agreement (Webull Corp), Omnibus Clearing Agreement (Webull Corp)
Extension of Credit. Responsibility for compliance with the provisions of Regulation T T, issued by the Board of Governors of the Federal Reserve System pursuant to the Securities Exchange Act of 1934 ("“Regulation T") ”), and all other applicable rules, regulations and requirements of any exchange or regulatory agency affecting the extension of credit shall be allocated between Southwest FSWC and Correspondent CLAY as set forth in this Section 3.
Appears in 2 contracts
Samples: Fully Disclosed Clearing Agreement (Clayton Dunning Group), Fully Disclosed Clearing Agreement (Clayton Dunning Group)
Extension of Credit. Responsibility for compliance with the provisions of Regulation T issued by the Board of Governors of the Federal Reserve System pursuant to the Securities Exchange Act of 1934 ("Regulation T"7) and all other applicable rules, regulations and requirements of any exchange or regulatory agency affecting the extension of credit shall be allocated between Southwest Xxxxxx and Correspondent as set forth in this Section 3.
Appears in 1 contract
Samples: Fully Disclosed Clearing Agreement (Internet Financial Services Inc)
Extension of Credit. Responsibility for compliance with the provisions of Regulation T T, issued by the Board of Governors of the Federal Reserve System pursuant to the Securities Exchange Act of 1934 ("Regulation T") ), and all other applicable rules, regulations and requirements of any exchange EXCHANGE or regulatory agency affecting the extension of credit shall be allocated between Southwest FSWC and Correspondent ALEX as set forth in this Section 3.
Appears in 1 contract
Samples: Fully Disclosed Clearing Agreement (Financial Commerce Network Inc)
Extension of Credit. Responsibility Responsixxxxxx for compliance with the provisions of Regulation T issued by the Board of Governors of the Federal Reserve System pursuant to the Securities Exchange Act of 1934 ("Regulation T") and all other applicable rules, regulations and requirements of any arty exchange or regulatory agency affecting the extension of credit shall be allocated between Southwest Penson and Correspondent as set forth in this Section 3.
Appears in 1 contract
Samples: Fully Disclosed Clearing Agreement (Empire Financial Holding Co)
Extension of Credit. Responsibility for compliance with the provisions of Regulation T issued by the Board of Governors of the Federal Reserve System pursuant to the Securities Exchange Act of 1934 ("Regulation T") and all other applicable rules, regulations and requirements of any exchange or regulatory agency affecting the extension of credit shall be allocated between Southwest Penson and Correspondent as set forth in this Section 3.
Appears in 1 contract
Samples: Fully Disclosed Clearing Agreement (Rush Financial Technologies Inc)
