Common use of Insiders Clause in Contracts

Insiders. You must notify us promptly, in writing, if you or any of your associates is an “insider” (as those terms are defined by applicable securities legislation of any issuer whose securities may be purchased for your Account or if you (alone or in combination with others) hold a sufficient number of securities of an issuer to materially affect control of the issuer (including holding of 10 or more of the outstanding voting securities of the issuer). You remain solely responsible for completing all regulatory filings related to all transactions involving securities related to the Issuer named in your Account, including any other reporting obligations such as large position reporting.

Appears in 2 contracts

Samples: Client Account Agreement, Client Account Agreement

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Insiders. You must notify us promptly, in writing, if you or any of your associates is an “insider” (as those terms are defined by applicable securities legislation of any issuer whose securities may be purchased for your Account or if you (alone or in combination with others) hold a sufficient number of securities of an issuer to materially affect control of the issuer (including holding of 10 10% or more of the outstanding voting securities of the issuer). You remain solely responsible for completing all regulatory filings related to all transactions involving securities related to the Issuer named in your Account, including any other reporting obligations such as large position reporting.

Appears in 1 contract

Samples: Client Account Agreement

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Insiders. You must notify us promptly, in writing, if you or any of your associates is an “insider” (as those terms are defined by applicable securities legislation of any issuer whose securities may be purchased for your Account or if you (alone or in combination with others) hold a sufficient number of securities of an issuer to materially affect control of the issuer (including holding of 10 10 or more of the outstanding voting securities of the issuer). You remain solely responsible for completing all regulatory filings related to all transactions involving securities related to the Issuer named in your Account, including any other reporting obligations such as large position reporting.

Appears in 1 contract

Samples: Client Account Agreement

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