Restrictions on Account. Broker understands that SLK in its sole discretion may refuse to accept Prime Broker Transactions on Broker's client's behalf or restrict or prohibit trading of securities in Brokers client's account or refuse to clear Broker's clients transactions.
Appears in 4 contracts
Samples: Fully Disclosed Clearing Agreement (Archipelago Holdings L L C), Fully Disclosed Clearing Agreement (Archipelago Holdings L L C), Fully Disclosed Clearing Agreement (Archipelago Holdings L L C)
Restrictions on Account. Broker understands that SLK in its sole discretion may refuse to accept Prime Broker Transactions on Broker's client's behalf or restrict or prohibit trading of securities in Brokers client's account or refuse to clear Broker's clients client's transactions.
Appears in 2 contracts
Samples: Fully Disclosed Clearing Agreement (Archipelago Holdings L L C), Fully Disclosed Clearing Agreement (Archipelago Holdings L L C)
Restrictions on Account. Broker understands that SLK in its sole discretion may refuse to accept Prime Broker Transactions on Broker's ’s client's ’s behalf or restrict or prohibit trading of securities in Brokers Broker’s client's ’s account or refuse to clear Broker's clients ’s client’s transactions, in each case, after endeavoring to provide prompt notice to Broker.
Appears in 1 contract
Samples: Fully Disclosed Clearing Agreement (Archipelago Holdings L L C)
Restrictions on Account. Broker understands that SLK in its sole discretion may refuse to accept Prime Broker Transactions on Broker's clientcustomer's behalf or restrict or prohibit trading of securities in Brokers clientBroker's customer's account or refuse to clear Broker's clients customer's transactions.
Appears in 1 contract
Samples: Fully Disclosed Clearing Agreement (optionsXpress Holdings, Inc.)
