Restricted Use of Data. Broker acknowledges that certain information available via the Systems and Software Products cannot be viewed by or otherwise distributed to an individual who is a member of any exchange or the NASD, or of any corporation of which an exchange owns a majority of the capital stock, or of a member firm or member corporation of any exchange or the NASD or of any corporation, firm or individual engaged in the business of dealing either as a broker or a principal in securities, bills of exchange, acceptances, or other forms of commercial paper (hereinafter "Professional User"). Broker acknowledges that Broker is solely responsible for ensuring that and represents and warrants that it will not use or permit any other Professional User to access or view the restricted information except in their capacity as public customers. In addition, certain information available through the Systems cannot be viewed by or otherwise distributed to Broker's customers. Broker acknowledges that Broker ix xxxxly responsible for xxxxxing that no such individual views the restricted information. Pershing's or its affiliates' mere creation and license of the Systems and Software Products to be used by Broker as tools for conducting its business does not diminish Broker's responsibility for compliance with all applicable rules as set forth in paragraph 6 of this Agreement.
Appears in 1 contract
Samples: Clearing Agreement (American Portfolios Holdings Inc)
Restricted Use of Data. Broker acknowledges that certain information available via the Systems and Software Products cannot be viewed by or otherwise distributed to an individual who is a member of any exchange or the NASD, or of any corporation of which an exchange owns a majority of the capital stock, or of a member firm or member corporation of any exchange or the NASD or of any corporation, firm or individual engaged in the business of dealing either as a broker or a principal in securities, bills of exchange, acceptances, or other forms of commercial paper (hereinafter "“Professional User"”). Broker acknowledges that Broker is solely responsible for ensuring that and represents and warrants that it will not use or permit any other Professional User to access or view the restricted information except in their capacity as public customers. In addition, certain information available through the Systems cannot be viewed by or otherwise distributed to Broker's ’s customers. Broker acknowledges that Broker ix xxxxly is solely responsible for xxxxxing ensuring that no such individual views the restricted information. Pershing's ’s or its affiliates' ’ mere creation and license of the Systems and Software Products to be used by Broker as tools for conducting its business does not diminish Broker's ’s responsibility for compliance with all applicable rules as set forth in paragraph 6 of this Agreement.
Appears in 1 contract
Samples: Disclosed Clearing Agreement (International Assets Holding Corp)
Restricted Use of Data. Broker acknowledges that certain information available via the Systems and Software Products cannot be viewed by or otherwise distributed to an individual who is a member of any exchange or the NASD, or of any corporation of which an exchange owns a majority of the capital stock, or of a member firm or member corporation of any exchange or the NASD or of any corporation, firm or individual engaged in the business of dealing either as a broker or a principal in securities, bills of exchange, acceptances, or other forms of commercial paper (hereinafter "Professional User"). Broker acknowledges that Broker is solely responsible for ensuring that and represents and warrants that it will not use or permit any other Professional User to access or view the restricted information except in their capacity as public customers. In addition, certain information available through the Systems cannot be viewed by or otherwise distributed to Broker's customers. Broker acknowledges that Broker ix xxxxly is solely responsible for xxxxxing ensuring that no such individual views the restricted information. Pershing's or its affiliates' mere creation and license of the Systems and Software Products to be used by Broker as tools for conducting its business does not diminish Broker's responsibility for compliance with all applicable rules as set forth in paragraph 6 of this Agreement.
Appears in 1 contract
Samples: Clearing Agreement (American Portfolios Holdings Inc)
Restricted Use of Data. Broker acknowledges that certain information ---------------------- available via the Systems and Software Products cannot be viewed by or otherwise distributed to an individual who is a member of any exchange or the NASD, or of any corporation of which an exchange owns a majority of the capital stock, or of a member firm or member corporation of any exchange or the NASD or of any corporation, firm or individual engaged in the business of dealing either as a broker or a principal in securities, bills of exchange, acceptances, or other forms of commercial paper (hereinafter "Professional User"). Broker acknowledges that Broker is solely responsible for ensuring that and represents and warrants that it will not use or permit any other Professional User to access or view the restricted information except in their capacity as public customers. In addition, certain information available through the Systems cannot be viewed by or otherwise distributed to Broker's customers. Broker acknowledges that Broker ix xxxxly is solely responsible for xxxxxing ensuring that no such individual views the restricted information. Pershing's or its affiliates' mere creation and license of the Systems and Software Products to be used by Broker as tools for conducting its business does not diminish Broker's responsibility for compliance with all applicable rules as set forth in paragraph 6 of this Agreement.
Appears in 1 contract
Samples: Disclosed Clearing Agreement (Ziegler Companies Inc)