No Restricted Securities. Unless Client has submitted written Notice to IBKR to the contrary, no assets held as collateral are "restricted securities," as such term is defined pursuant to Rule 144 under the Securities Act of 1933, (the "Securities Act"), or securities of an issuer with which Client is an "affiliate" (as such term is defined pursuant to Rule 144 under the Securities Act), and Client will not attempt to sell such shares through IBKR without prior written Notice to and written consent of XXXX.
No Restricted Securities. The Customer shall not hold restricted securities (as that term is defined in SEC Rule 144 under the Securities Act) in the Customer's Account or offer to purchase or sell restricted securities through the System. [illegible] Notices to Sponsor. The Customer shall immediately notify the Sponsor and shall immediately [illegible] through the System upon the occurrence of any of the following: (a) any administrative proceeding involving or investigation of the Customer and relating to the Customer's use of the System (whether public, private, formal or informal) is commenced or threatened; and (b) Any representation or warranty made by the Customer in this Agreement becomes untrue.
No Restricted Securities. Unless Client has notified SPC to the contrary, no assets held as Collateral are restricted securities, as such term is defined pursuant to Rule 144 under the Securities Act of 1933, as amended, or securities of an issuer with which Client is an affiliate, and Client will not attempt to sell such shares through SPC without prior notice to and consent of SPC.
No Restricted Securities. Unless Client has submitted written Notice to GPS to the contrary, no assets held as collateral are "restricted securities," as such term is defined pursuant to Rule 144 underthe Securities Act of 1933, (the "Securities Act"), or securities of an issuer with which Client is an "affiliate" (as such term is defined pursuant to Rule 144 under the Securities Act), and Client will not attempt to sell such shares through GPS without prior written Notice to and written consent of GPS.
No Restricted Securities. Unless Customer has notified IB to the contrary, no assets held as Collateral are restricted securities, as such term is defined pursuant to Rule 144 under the Securities Act of 1933, (the Securities Act), or securities of an issuer with which Customer is an affiliate, and Customer will not attempt to sell such shares through IB without prior notice to and consent of IB. 14. Event of Default: A "Default" occurs automatically, without notice upon: (i) Customer breach/repudiation of any agreement with IB; (ii) Customer failure to provide assurance satisfactory to IB of performance of an obligation, after request from IB in IB's sole discretion; (iii) proceedings by/against Customer under any bankruptcy, insolvency, or similar law; (iv) assignment for the benefit of Customer's creditors; (v) appointment of a receiver, trustee, liquidator or similar officer for Customer or Customer property; (vi) Customer representations being untrue or misleading when made or later becoming untrue; (vii) legal incompetence of Customer; (viii) proceeding to suspend Customer business or license by any regulator or organization; (ix) IB having reason to believe that any of the foregoing is likely to occur imminently. Customer unconditionally agrees that, upon a Default, IB may terminate any or all IB's obligations to Customer and IB shall have the right in its discretion, but not the obligation, without prior notice, to liquidate all or any part of Customer's positions in any IB account, individual or joint, at any time and any manner and through any market or dealer. Customer shall reimburse and hold IB harmless for all actions, omissions, costs, fees (including, but not limited to, attorney's fees), or liabilities associated with any Customer Default or any transaction undertaken by IB upon Default. 15.
No Restricted Securities. Unless the Client has notified IBIE to the contrary, Client will not attempt to sell restricted shares through IBIE without prior notice to and consent of IBIE.
No Restricted Securities. Unless I have submitted written Notice to AQUAS to the contrary, no assets held as collateral are “restricted securities” as such term is defined pursuant to Rule 144 of the Securities Act of 1933 (the “Securities Act”), or securities of an issuer with which I am an “affiliate” (as such term is defined pursuant to Rule 144 of the Securities Act), and I will not attempt to sell such shares through AQUAS without prior written Notice to and receiving written consent from AQUAS. Worthless and Non-Transferable Securities. AQUAS reserves the right to remove from my Account any security that is deemed to have been cancelled or otherwise invalidated. I agree that in determining that a security has been cancelled or invalidated, AQUAS has derived such information from me or from third parties and AQUAS has reviewed and determined to the best of AQUAS’ ability that the security has no market value. AQUAS is not responsible for the accuracy or reliability of any information regarding these assets. AQUAS will notify me if AQUAS has removed a cancelled or otherwise invalid security from my account. Unless I provide AQUAS with evidence of the validity of the security within thirty days after notice of the removal, I agree to waive any claim to any future distribution from the security and agree to indemnify and hold AQUAS harmless from any claims, liability, or damages resulting from the removal of such security. If I provide AQUAS with evidence of the validity of the security from an independent third party within the time limit noted above, XXXXX will reinstate my position if AQUAS is able to do so. In addition, AQUAS reserves the right to charge an additional servicing fee for securities for which a transfer agent cannot be identified (a “Non-Transferable Security”).
No Restricted Securities. Unless Client has submitted written Notice to GPS to the contrary, no assets deposited into or which will be held in the Client’s account, including any as collateral, will be “restricted securities,” as such term is defined pursuant to Rule 144 under the Securities Act of 1933, (the “Securities Act”), or securities of an issuer with which Client is an “affiliate” (as such term is defined pursuant to Rule 144 under the Securities Act), and Client will not attempt to sell such shares through GPS or IBKR without prior written Notice to and written consent of GPS and, if necessary, IBKR.
