Receipt and Delivery Pursuant to Special Instruction. Upon instruction from Correspondent and/or a Customer, Southwest will make such transfers of securities or Accounts as may be requested. Correspondent shall be responsible for determining if any securities held in Correspondent or Customer Accounts are "restricted securities" or "control stock" as defined by the rules of the Sec and that orders executed for such securities are in compliance with the applicable laws, rules and regulations.
Receipt and Delivery Pursuant to Special Instruction. Subject to the limitations set forth in this Agreement and consistent with the systems and procedures of FSWC, upon instruction from CLAY or a Customer, FSWC will make such transfers of securities or Accounts as may be requested. CLAY shall be responsible for determining if any securities held in CLAY or Customer Accounts are "restricted securities" or "control stock" as defined by the rules of the SEC; that orders executed for such securities are in compliance with applicable laws, rules and regulations; and that all necessary documentation required to clear legal transfer (including opinions of legal counsel, if requested by FSWC or the transfer agent) are provided in a timely manner. However, FSWC will not be required to transfer securities if, in the exercise of its good faith judgment, such transfer would violate any applicable laws, rules or regulations or would subject FSWC to liability or additional cost or expense.
Receipt and Delivery Pursuant to Special Instruction. Upon instruction from Correspondent or a Customer, Pensxx xxxl make such transfers of securities or Accounts as may be requested. Correspondent shall be responsible for determining if any securities held in Correspondent or Customer Accounts are "restricted securities" or "control stock" as defined by the rules of the SEC and that orders executed for such securities are in compliance with applicable laws, rules and regulations.
Receipt and Delivery Pursuant to Special Instruction. Upon instruction from Correspondent or a Customer in a form acceptable to NFS, NFS will make reasonable efforts to effect transfers of securities, funds or Accounts as may be requested. In the event the transfer of an Account requires the liquidation of certain securities within such Account, NFS shall forward the entire request to Correspondent for appropriate action.
Receipt and Delivery Pursuant to Special Instruction. Upon instruction from the Account Holder, GTN Asia will make such transfers of securities as may be requested. The Account Holder shall be responsible for determining if any securities held in its Trading Account are "restricted securities" or "control stock" as defined by the rules of the regulatory agencies and that orders executed for such securities are in compliance with applicable laws, rules and regulations.
Receipt and Delivery Pursuant to Special Instruction. Upon instruction from Correspondent or a Customer, Xxxxxx will make such transfers of securities or Accounts as may be requested. Correspondent shall be responsible for determining if any securities held in Correspondent or Customer Accounts are "restricted securities" or "control stock" as defined by the rules of the SEC and that orders executed for such securities are in compliance with applicable laws, rules and regulations.
Receipt and Delivery Pursuant to Special Instruction. Upon instruction from the Client, GTN ME will make such transfers of securities or Accounts as may be requested. The Client shall be responsible for determining if any securities held in Client Accounts are "restricted securities" or "control stock" as defined by the rules of the regulatory agencies and that orders executed for such securities are in compliance with applicable laws, rules and regulations. CONFIRMATIONS AND STATEMENTS Preparation and Transmission. GTN ME will make available online to the Client a report of daily transaction details and holding positions on all active accounts of the Client. GTN ME will also make available to the Client daily transaction details i.e., trade confirmation in electronic form preferably using electronic mail addressed to the email ID of the Client or its designated officials. On special request of the Client, GTN ME will provide any additional statements requested by the Client. The Client hereby waives his rights to receive periodic statements at suitable intervals in accordance with the DFSA Rules.
Receipt and Delivery Pursuant to Special Instruction. Upon instruction from the Client, MFS will make such transfers of securities or Accounts as may be requested. The Client shall be responsible for determining if any securities held in Client Accounts are "restricted securities" or "control stock" as defined by the rules of the regulatory agencies and that orders executed for such securities are in compliance with applicable laws, rules and regulations.
Receipt and Delivery Pursuant to Special Instruction. Upon instruction from Correspondent or a Customer, Penson will make such transfers of securities or Accounts xx xxy be requested. Correspondent shall be responsible for determining if any securities held in Correspondent or Customer Accounts are "restricted securities" or "control stock" as defined by the rules of the SEC and that orders executed for such securities are in compliance with applicable laws, rules and regulations.
Receipt and Delivery Pursuant to Special Instruction. Upon instruction from Correspondent or a Customer, Penson will make such transfers of securities ox Xxxxunts as may be requested. Correspondent shall be responsible for determining if any securities held in Correspondent or Customer Accounts are "restricted securities" or "control stock" as defined by the rules of the SEC and that orders executed for such securities are in compliance with applicable laws, rules and regulations.
