Fixed Price Offerings. Correspondent agrees that in making sales of Securities, 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 1 and 24, of the NASD's Rules of Fair Practice.
Appears in 2 contracts
Samples: Fully Disclosed Clearing Agreement (Penson Worldwide Inc), Fully Disclosed Clearing Agreement (Penson Worldwide Inc)
Fixed Price Offerings. Correspondent agrees that in making sales of Securities, 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 1 Rules 2110 and 24, 2740 of the NASD's Rules of Fair PracticeConduct Rules.
Appears in 2 contracts
Samples: Fully Disclosed Clearing Agreement (Rush Financial Technologies Inc), Fully Disclosed Clearing Agreement (Empire Financial Holding Co)