Restricted or Control Securities. You may not sell or transfer through your Account: (a) any securities subject to Rule 144 or 145(d) under the Securities Act of 1933, or (b) any securities that are restricted securities as defined in Rule 144 or control securities within the meaning of Rule 144, or (c) any securities that may not be freely saleable or deliverable under any other law or rule relating to restricted or control securities or otherwise, or (d) securities that may otherwise be contractually restricted from delivery or sale. You may not sell securities if you control, are controlled by or are under common control with the issuer of the securities. See also Section 36(c), below.
Appears in 4 contracts
Samples: Customer Account Agreement, Customer Account Agreement, Customer Account Agreement
