Right to deal with securities Sample Clauses

Right to deal with securities. At any time while you are indebted to ATBSI, ATBSI may, without notice, use the securities and credit balances in the account(s) from time to time in the conduct of ATBSI business, and without limiting this right, ATBSI may: combine or intermingle any securities or credit balances in the account(s) with the property of ATBSI, its clients or both; pledge any of the securities as security for its own indebtedness; borrow any of the securities in the account(s) or credit balances in the account(s) for its own purposes; or use any of the securities in the account(s) for making delivery against sale, whether a short sale or otherwise, and whether such sale is for the account(s) or for the account(s) of any other client of ATBSI. If: a. You fail to comply with any term of this Agreement; b. ATBSI considers it necessary for its protection for any reason whatsoever, including without limitation, where ATBSI considers any margin in the account to be insufficient; c. A garnishing order or other attachment is levied against the account; d. An application for bankruptcy is made by or in respect of you or a receiver is appointed to manage your affairs; e. If you die, or if you are a corporation or other unincorporated entity, are wound up or dissolved then, ATBSI may, without taking any other steps, do one or more of the following, at its discretion: i. Apply credit balances in the account or any other account in which you have an interest to reduce the indebtedness of the account; ii. Retain possession of or sell any of the securities in the account and apply the net proceeds of any sale to reduce the indebtedness in the account; iii. Purchase or borrow any securities necessary to cover short sales or to cover open positions; iv. Cancel any unexecuted orders.
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Right to deal with securities. Subject to Section 3.10, at any time while the Client is indebted to Xxxxxx Xxxxxxx, Xxxxxx Xxxxxxx and/or Canaccord Genuity in its capacity as carrying broker for Xxxxxx Xxxxxxx may, without notice, use the Securities and credit balances in the Account from time to time in the conduct of Xxxxxx Xxxxxxx’x business, and, without limiting the generality of this right, Xxxxxx Xxxxxxx and/or Canaccord Genuity in its capacity as carrying broker for Xxxxxx Xxxxxxx, may combine or intermingle any Securities or credit balances in the Account with the property of Xxxxxx Xxxxxxx and/or Canaccord Genuity in its capacity as carrying broker for Xxxxxx Xxxxxxx, its clients or both, pledge any of the Securities as security for its own indebtedness, borrow any of the Securities in the Account or credit balances in the Account for its own purposes, or use any of the Securities in the Account for making delivery on a sale, whether a short sale or otherwise, and whether such sale is for the Account, for the account of any other client of the Agent, for the Agent’s own account or for any account in which the Agent or any director of the Agent, is directly or indirectly interested. The Client agrees that Xxxxxx Xxxxxxx and/or Canaccord Genuity in its capacity as carrying broker for Xxxxxx Xxxxxxx, is hereby authorized, without notice to the Client, to take any of the following actions with respect to any of the Client’s accounts or securities in the margin credit portion of any of the Client accounts: (i) to hold and re-register such securities in our name or in any name other than yours, (ii) to pledge, re- pledge, hypothecate, re- hypothecate, sell, assign, lend, commingle or otherwise transfer or use such securities in our business, separately from or together with all attendant rights of ownership (including the right to vote any such securities or receive dividends) and (iii) to use or invest any cash resulting from our pledging, re-pledging, hypothecating, re- hypothecating, selling, assigning, lending, commingling, transferring or otherwise using such securities at our own risk. The Client agrees that Xxxxxx Xxxxxxx and/or Canaccord Genuity in its capacity as carrying broker for Xxxxxx Xxxxxxx, may exercise these rights without notice to the Client and may do so in connection with transactions involving amounts that may be greater than the amount of the Client’s loans. The Client agrees that our use of the securities in the margin credit portion of the Client’s Account ...
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Right to deal with securities. At any time while you are indebted to SFI, SFI may, without notice, use the Securities and credit balances in the Account from time to time in the conduct of SFI’s business, and, without limiting the generality of this right, SFI may combine or intermingle any Securities or credit balances in the Account with the property of SFI, its clients or both, pledge any of the Securities as security for its own indebtedness, borrow any of the Securities in the Account or credit balances in the Account for its own purposes, or use any of the Securities in the Account for making delivery against a sale, whether a short sale or otherwise, and whether such sale is for the Account or for the account of any other client of SFI.
Sample 1
Right to deal with securities. At any time while you are indebted to ATBSI, ATBSI may, without notice, use the securities and credit balances in the account from time to time in the conduct of ATBSI business, and without limiting this right, ATBSI may: combine or intermingle any securities or credit balances in the account with the property of ATBSI, its clients or both; pledge any of the securities as security for its own indebtedness; borrow any of the securities in the account or credit balances in the account for its own purposes; or use any of the securities in the account for making delivery against sale, whether a short sale or otherwise, and whether such sale is for the account or for the account of any other client of ATBSI. If: a. you fail to comply with any term of this Agreement; b. ATBSI considers it necessary for its protection for any reason whatsoever, including without limitation, where ATBSI considers any margin in the account to be insufficient; c. a garnishing order or other attachment is levied against the account;
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Right to deal with securities. BBVI Inc. is a licensed and registered Broker Dealer with the International Financial Services Commission holding license number IFSC/60/278/TS/00.Xx any time BBVI may, without notice, use securities and credit balances in the Account from time to time in the conduct of BBVI business, and, without limiting the generality of this right, BBVI may combine or intermingle any securities or credit balances in the Account with the property of BBVI, its Customers or both; pledge any of the securities as security for its own indebtedness, borrow any of the securities in the Account or credit balances in the Account for its own purposes, or use any of the securities in the Account for making delivery against a sale, whether a short sale or otherwise, and whether such sale is for the Account or for the account of any other Customer of BBVI.
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Related to Right to deal with securities

  • FREEDOM TO DEAL WITH THIRD PARTIES The Adviser shall be free to render services to others similar to those rendered under this Agreement or of a different nature except as such services may conflict with the services to be rendered or the duties to be assumed hereunder.

  • Right to Advice of Counsel The Executive acknowledges that he has consulted with counsel and is fully aware of his rights and obligations under this Agreement.

  • Notice of Disqualifying Disposition of ISO Shares If the Option granted to Optionee herein is an ISO, and if Optionee sells or otherwise disposes of any of the Shares acquired pursuant to the ISO on or before the later of (1) the date two years after the Date of Grant, or (2) the date one year after the date of exercise, the Optionee shall immediately notify the Company in writing of such disposition. Optionee agrees that Optionee may be subject to income tax withholding by the Company on the compensation income recognized by the Optionee.

  • Opinion of Counsel for the Underwriters On each of the First Closing Date and each Option Closing Date the Representatives shall have received the opinion of Xxxxxx & Xxxxxxx LLP, counsel for the Underwriters in connection with the offer and sale of the Offered Shares, in form and substance satisfactory to the Underwriters, dated as of such date.

  • Opinion of Counsel for the Underwriter The Underwriters shall have received on and as of the Closing Date an opinion of Sidley Austin LLP, counsel for the Underwriters, with respect to such matters as the Underwriters may reasonably request, and such counsel shall have received such documents and information as they may reasonably request to enable them to pass upon such matters.

  • Trustee Not Responsible for Recitals or Issuance or Securities (a) The recitals contained herein and in the Securities shall be taken as the statements of the Company, and the Trustee assumes no responsibility for the correctness of the same. (b) The Trustee makes no representations as to the validity or sufficiency of this Indenture or of the Securities. (c) The Trustee shall not be accountable for the use or application by the Company of any of the Securities or of the proceeds of such Securities, or for the use or application of any moneys paid over by the Trustee in accordance with any provision of this Indenture or established pursuant to Section 2.01, or for the use or application of any moneys received by any paying agent other than the Trustee.

  • Compliance with Securities Act and 10b-5 Representation (i) Each of the Registration Statement and any post-effective amendment thereto, at the time it became effective, complied in all material respects with the requirements of the Securities Act and the Securities Act Regulations. Each Preliminary Prospectus, including the prospectus filed as part of the Registration Statement as originally filed or as part of any amendment or supplement thereto, and the Prospectus, at the time each was filed with the Commission, complied in all material respects with the requirements of the Securities Act and the Securities Act Regulations. Each Preliminary Prospectus delivered to the Underwriters for use in connection with this Offering and the Prospectus was or will be identical to the electronically transmitted copies thereof filed with the Commission pursuant to EXXXX, except to the extent permitted by Regulation S-T. (ii) Neither the Registration Statement nor any amendment thereto, at its effective time, as of the Applicable Time, at the Closing Date or at any Option Closing Date (if any), contained, contains or will contain an untrue statement of a material fact or omitted, omits or will omit to state a material fact required to be stated therein or necessary to make the statements therein, in light of the circumstances under which they were made, not misleading. (iii) The Pricing Disclosure Package, as of the Applicable Time, at the Closing Date or at any Option Closing Date (if any), did not, does not and will not include an untrue statement of a material fact or omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; and each Issuer Limited Use Free Writing Prospectus does not conflict in any material respect with the information contained in the Registration Statement, any Preliminary Prospectus, the Pricing Prospectus or the Prospectus, and each such Issuer Limited Use Free Writing Prospectus, as supplemented by and taken together with the Pricing Prospectus as of the Applicable Time, did not include an untrue statement of a material fact or omit to state a material fact necessary in order to make the statements therein, in light of the circumstances under which they were made, not misleading; provided, however, that this representation and warranty shall not apply to statements made or statements omitted in reliance upon and in conformity with written information furnished to the Company with respect to the Underwriters by the Representative expressly for use in the Registration Statement, the Pricing Prospectus or the Prospectus or any amendment thereof or supplement thereto. The parties acknowledge and agree that such information provided by or on behalf of any Underwriter consists solely of the disclosure contained in the “Underwriting” section of the Prospectus (the “Underwriters’ Information”). (iv) Neither the Prospectus nor any amendment or supplement thereto (including any prospectus wrapper), as of its issue date, at the time of any filing with the Commission pursuant to Rule 424(b), at the Closing Date or at any Option Closing Date, included, includes or will include an untrue statement of a material fact or omitted, omits or will omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided, however, that this representation and warranty shall not apply to the Underwriters’ Information.

  • Representation of the Underwriters The Representatives will act for the several Underwriters in connection with this financing, and any action under this Agreement taken by the Representatives will be binding upon all the Underwriters.

  • Opinion of Counsel to the Underwriters The Representative shall have received an opinion, dated the Closing Date and any Option Closing Date, as the case may be, from Pxxxx Cxxxxxx LLP, securities counsel to the Underwriters, with respect to the Registration Statement, the Prospectus and this Agreement, which opinions shall be satisfactory in all respects to the Representative.

  • Limitation on the Authority of the Manager to Purchase and Sell Securities for the Account of Certain Underwriters Notwithstanding any provision of this AAU authorizing the Manager to purchase or sell any Securities or Other Securities (including arranging for the sale of Contract Securities) or over-allot in arranging sales of Securities for the accounts of the several Underwriters, the Manager may not, in connection with the Offering of any Securities, make any such purchases, sales, and/or over-allotments for the account of any Underwriter that, not later than its acceptance of the Invitation Wire relating to such Offering, has advised the Manager that, due to its status as, or relationship to, a bank or bank holding company such purchases, sales, and/or over-allotments are prohibited by applicable law. If any Underwriter so advises the Manager, the Manager may allocate any such purchases, sales, and over-allotments (and the related expenses) which otherwise would have been allocated to your account based on your respective Underwriting Percentage to your account based on the ratio of your Original Underwriting Obligation to the Original Underwriting Obligations of all Underwriters other than the advising Underwriter or Underwriters, or in such other manner as the Manager will determine.

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