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 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 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 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 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 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.
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. (d) Draft-Issuing Authority. At its discretion Southwest may authorize certain of Correspondent's employees to sign drafts, with correspondent as the drawer, payable to Correspondent's Customers in amounts and pursuant to conditions as may be determined by Southwest from time to time. Correspondent agrees that it will not request Southwest to authorize someone to sign drafts who is not an employee of Correspondent. With respect to any drafts so issued by Correspondent, an officer of Correspondent shall verify and warrant before causing the draft to be issued (i) that the funds to be transmitted are due payee and that payee has the authority to receive those funds; (ii) that the funds are free of any liens or adverse claims at the time of payment, and are not expected to become subject to any such liens or claims within the foreseeable future; and (iii) that the funds are not needed at the time of payment to satisfy margin or other collateral requirements of the Customer. Correspondent agrees to fully indemnify Southwest from the negligence, fraud or mistakes of Correspondent, Correspondent's employees, independent agents and contractors and Customers in connection with any draft issuing authority granted hereunder. Southwest may in its discretion require Correspondent or post a performance bond in such amount and with such deductible as Southwest may determine in order to protect Southwest against any such losses. Furthermore, Correspondent authorizes Southwest to charge any Correspondent Account or other assets of Correspondent held by Southwest with the amount of any such losses. Notwithstanding Section 5(a), Southwest will not be responsible for the safeguarding of funds withdrawn by Correspondent of Correspondent's employees pursuant to such draft issuing authority. Southwest may withdraw this draft issuing privilege without notice at any time during the term of this Agreement. Notwithstanding anything herein to the contrary, Southwest may at any time, at its sole discretion, despite any prior authorization, refuse pa...
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.
