Rule 5131 Covered Persons Sample Clauses

Rule 5131 Covered Persons. Rule 5131(b) generally prohibits FINRA members (each, a “FINRA Member”) from allocating shares of New Issues to any account in which Covered Persons (as defined below) have a beneficial interest that exceeds 25% of such account. Individual Subscribers please complete Item (i) below, as applicable. Entity Subscribers please complete Item (ii) below, as applicable.
AutoNDA by SimpleDocs
Rule 5131 Covered Persons. If no exemption in Part I applies and you have not checked the "Voluntarily Restricted" box above, you must complete this Part III. If you do not complete this Part III, your application may be rejected or you may not be able to participate in any profits or losses attributable to the Fund's investment in New Issues. You do not need to complete this Part III if one of the exemptions listed in Pan I applies or if you have checked the "Voluntarily Restricted" box above. Please indicate by checking a box below which of the following statements applies to the Purchaser. Please note that Question (2) may be all that is required. o (I) Executive Officers or Directors ofCenain Companies. The Purchaser, or any person having a Beneficial Interest in the Purchaser, is (i) an executive officer or director of a Public Company RG146158604 C-4 PRIVATE AND CONFIDENTIAL or a Covered Non-Public Company, or (ii) a person receiving Material Support by an executive officer or director of a Public Company or a Covered Non-Public Company. * If you check this Question (I), name the Public Company(ies) or Covered Non-Public Company(ies).

Related to Rule 5131 Covered Persons

  • EXEMPT AND SAVE HARMLESS The Employer shall insure to: A) exempt and save harmless employees from any liability action arising from the proper performance of her duties for the Employer, and B) assume all costs, legal fees and other expenses arising from any such action.

  • Covered Person An individual who is currently enrolled with Health Plan for the provision of services under a State Program. A Covered Person may also be referred to as an Enrollee, Member or Customer under the Agreement.

  • Certification Regarding Debarment, Suspension, and Other Responsibility Matters – Primary Covered Transactions The Firm certifies to the best of its knowledge and belief, that it and its principals:

  • Covered Persons Training All Covered Persons shall receive at least three hours of training during the first Reporting Period. Training may be completed in-person or online. These training requirements may be satisfied only by the completion of training courses that are submitted to OIG, prior to registration for the training course, for review and approval. At a minimum, the required training sessions must include the following topics:

  • The Indemnified Person (a) shall give the Indemnifying Party notice of the Claim promptly after becoming aware thereof (including a statement of facts known to the Indemnified Person related to the Claim and an estimate of the amount thereof); (b) prior to taking any material action with respect to a Third Party Claim, shall consult with the Indemnifying Party as to the procedure to be followed in defending, settling, or compromising the Claim; (c) shall not consent to any settlement or compromise of a Third Party Claim without the written consent of the Indemnifying Party; (d) shall permit the Indemnifying Party to assume the defense of a Third Party Claim (including, except as provided below, the compromise or settlement thereof) at the Indemnifying Party’s own cost and expense, provided, however, that the Indemnified Person shall have the right to approve the Indemnifying Party's choice of legal counsel.

  • Employee Information Required to be Reported by Certain Consultant Contractors and Service Contractors Chapter 10 of the Laws of 2006 amended the Civil Service Law and the State Finance Law, relative to maintaining certain information concerning Contract Employees working under State Agency service and consulting Contracts. State Agency consultant Contracts are defined as “Contracts entered into by a state Agency for analysis, evaluation, research, training, data processing, computer programming, engineering, environmental health and mental health services, accounting, auditing, paralegal, legal, or similar services” (“covered consultant Contract” or “covered consultant services”). The amendments also require that certain Contract Employee information be provided to the state Agency awarding such Contracts, OSC, DOB and CS. The effective date of these amendments was June 19, 2006. The requirements will apply to the covered Contracts awarded on and after such date. To meet these requirements, the Contractor agrees to complete:

  • Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion - Lower Tier Covered Transactions (a) The prospective lower tier participant certifies, by submission of this proposal, that neither it nor its principals is presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from participation in this transaction by any federal department or agency.

  • Certification as Small Contractor or Minority Business Enterprise This paragraph was intentionally left blank.

  • Products and Completed Operations Personal Injury Liability Contractual Liability The policy shall be on an occurrence form and limits shall not be less than: $1,000,000 Each Occurrence $2,000,000 General Aggregate $1,000,000 Products/Completed Operations Aggregate $1,000,000 Personal & Advertising Injury Automotive Liability: The Party shall carry automotive liability insurance covering all motor vehicles, including hired and non-owned coverage, used in connection with the Agreement. Limits of coverage shall not be less than $500,000 combined single limit. If performance of this Agreement involves construction, or the transport of persons or hazardous materials, limits of coverage shall not be less than $1,000,000 combined single limit.

  • CONTRIBUTOR’S STATUS Contributor is a corporation (or other form of artificial legal entity or juristic person) and is therefore a Constituent (defined in the Policy) and will be represented in OpenID by Representatives (defined in the Policy). Contributor’s initial Representatives are identified in Table 1 above, and in Exhibit 1 (if attached), and Contributor may change its Representatives from time to time on written notice to OIDF. Each Representative will also be required to click through the OIDF Online Contribution Agreement on its own behalf. Contributor will, as soon as commercially practicable (and in any case before the next Work Group meeting attended by any of its Representatives), notify OIDF in writing of any change of status of its Representatives.

Time is Money Join Law Insider Premium to draft better contracts faster.