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 FINRA, including, without limitation, FINRA’s Interpretations with respect to Free-Riding and Withholding under FINRA Rule 5130.
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Samples: Omnibus Clearing Agreement (Webull Corp), Omnibus Clearing Agreement (Webull Corp)
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 FINRA, including, without limitation, FINRA. XXXXX’s Interpretations with respect to Free-Riding and Withholding under FINRA Rule 5130.
Appears in 1 contract
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 FINRA, including, without limitation, . FINRA’s Interpretations with respect to Free-Riding and Withholding under FINRA Rule 5130.
Appears in 1 contract
