Fixed Price Offerings. Correspondent agrees that in making sales of securities, as part of a fixed price offering, it will comply with all applicable rules of the NASD, including, without limitation, the NASD's Interpretations with respect to Free-Riding and Withholding and under 2740 of NASD Conduct Rules.
Appears in 3 contracts
Samples: Disclosed Clearing Agreement (Raike Financial Group Inc/Ga), Disclosed Clearing Agreement (Raike Financial Group Inc/Ga), Disclosed Clearing Agreement (All Tech Investment Group Inc /De/)
Fixed Price Offerings. Correspondent agrees that in making sales of securitiesSecurities, as a part of a fixed price offering, it will comply with all applicable rules of the NASD, including, without limitation, the NASD's Interpretations with respect to Free-Riding and Withholding under Rules 2110 and under 2740 of NASD the NASD's Conduct Rules.
Appears in 2 contracts
Samples: Fully Disclosed Clearing Agreement (Rush Financial Technologies Inc), Disclosed Clearing Agreement (Empire Financial Holding Co)
Fixed Price Offerings. Correspondent agrees that in making sales of securitiesSecurities, as a part of a fixed price offering, it will comply with all applicable rules of the NASD, including, without limitation, the NASD's Interpretations with respect to Free-Riding and Withholding under Article III, Sections I and under 2740 24, of NASD Conduct Rulesthe NASD's Rules of Fair Practice.
Appears in 1 contract
Samples: Fully Disclosed Clearing Agreement (Internet Financial Services Inc)
Fixed Price Offerings. Correspondent agrees that in making sales of securities, as part of a fixed price offering, it will comply with all applicable rules of the NASD, including, without limitation, the NASD's Interpretations with respect to Free-Riding and Withholding and under 2740 of NASD Conduct Rules.. (e)
Appears in 1 contract
