Common use of Securities Available for Trading Clause in Contracts

Securities Available for Trading. 3.1 The Client acknowledges that the Client will only be able to trade on the US Listed Securities as prescribed by the rules governing US Listed Securities trading, any other Applicable Regulations, and/or other regulations as stipulated by the Third-party broker and WLSL in their sole discretion from time to time. The Client further acknowledges that apart from the US Listed Securities, the Client may not be able to trade other securities listed on the US security exchange markets, or subscribe for shares or other types of securities from initial public offerings on the US security exchange markets.

Appears in 6 contracts

Samples: Securities Account Agreement, Securities Account Agreement, Securities Account Agreement

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Securities Available for Trading. 3.1 The Client acknowledges that the Client will only be able to trade on the US Listed Securities as prescribed by the rules governing US Listed Securities trading, any other Applicable Regulations, and/or other regulations as stipulated by the Third-party broker and WLSL WLIS in their sole discretion from time to time. The Client further acknowledges that apart from the US Listed Securities, the Client may not be able to trade other securities listed on the US security exchange markets, or subscribe for shares or other types of securities from initial public offerings on the US security exchange markets.

Appears in 1 contract

Samples: Securities Account Agreement

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