Short Interest Fees Sample Clauses

Short Interest Fees. The Clearing Firms will charge you short interest fees that are separate and unrelated to the HTB Fees charged by the Broker. The Clearing Firms calculate short interest, and the total charges are dependent upon various factors such as the size of your short position, the price of the underlying security, the number of days between settlement of the short sale transaction and settlement of the buy to cover transaction, and the short interest rate. The short interest rate is variable and may change from day to day without notice. Increases in the short interest rates may be extreme, especially when there is considerable volatility in a given security. Furthermore, the Clearing Firms do not give advanced notice to the Broker when a short interest rate will be changing. You can get the short interest rate for a given symbol on a specific date by contacting the Broker. However, the rate provided to you will only be applicable for that given date and may change the following day. By signing below, you acknowledge and agree to the terms and conditions described herein. Signature Date Print Name Non-Solicited Agreement for Non-Traditional ETFs (Required for day-trading unsolicited leveraged & Inverse ETFs) Dear Regal Securities: This letter is to acknowledge my intent to purchase Non-Traditional ETFs in the future. These will be self-directed, "Unsolicited" trades made completely on my own decision. My Regal representative did not in any way solicit or otherwise encourage me to purchase these products. I have done my homework and research on the ETF and am aware that Leveraged and Inverse ETFs are highly speculative. I am also aware that I am at risk of losing my entire investment in the ETF position and that the funds used to purchase this security represent risk capital, funds that, if lost, will not impact my liquidity or net worth to a material extent. I am aware that Regal Securities will not execute my purchase transactions until they are in possession of this letter, signed by all registered account holders. I am aware that a delay in delivery of the letter to Regal Securities may expose me to market risk, and that Regal bears no liability for any delay in the execution of this transaction. Primary Name Account Number Primary Signature Date Joint Name Joint Signature Regal Representatives: You must maintain this form in your files. Copies of this form must emailed to the Regal Compliance Department ( Xxxxxxxxxx@xxxxxxxxxxxxxxx.xxx ) or faxed to (847-375-60...
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Short Interest Fees. The Clearing Firms will charge you short interest fees that are separate and unrelated to the HTB Fees charged by the Broker. The Clearing Firms calculate short interest, and the total charges are dependent upon various factors such as the size of your short position, the price of the underlying security, the number of days between settlement of the short sale transaction and settlement of the buy to cover transaction, and the short interest rate. The short interest rate is variable and may change from day to day without notice. Increases in the short interest rates may be extreme, especially when there is considerable volatility in a given security. Furthermore, the Clearing Firms do not give advanced notice to the Broker when a short interest rate will be changing. You can get the short interest rate for a given symbol on a specific date by contacting the Broker. However, the rate provided to you will only be applicable for that given date and may change the following day. In the event that an exchange or regulator halts a stock in which you hold a short position, you will continue to accrue short interest fees until the stock resumes trading regardless of the length of time that the stock is halted. The Broker may restrict the amount of assets that can be withdrawn from the account in situations where the account is holding a halted stock short.
Sample 1
Short Interest Fees. The Clearing Firms will charge you short interest fees that are separate and unrelated to the HTB Fees charged by the Broker. The Clearing Firms calculate short interest, and the total charges are dependent upon various factors such as the size of your short position, the price of the underlying security, the number of days between settlement of the short sale transaction and settlement of the buy to cover transaction, and the short interest rate. The short interest rate is variable and may change from day to day without notice. Increases in the short interest rates may be extreme, especially when there is considerable volatility in a given security. Furthermore, the Clearing Firms do not give advanced notice to the Broker when a short interest rate will be changing. You can get the short interest rate for a given symbol on a specific date by contacting the Broker. However, the rate provided to you will only be applicable for that given date and may change the following day. In the event that an exchange or regulator halts a stock in which you hold a short position, you will continue to accrue short interest fees until the stock resumes trading regardless of the length of time that the stock is halted. The Broker may restrict the amount of assets that can be withdrawn from the account in situations where the account is holding a halted stock short. _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ Client Signature Date
Sample 1

Related to Short Interest Fees

  • Collection Fees If collection fees are assessed or attorney’s fees are expended by the University in the process of obtaining unpaid housing charges, the student will be responsible for the payment of those fees in addition to the unpaid housing charges.

  • Monthly Fees ACS will xxxx Customer each month during the term of this Agreement based on number of "Actions" which occurred during the prior month. The definition of "Actions" and fees for each Action will be documented in each Task Order. Customer shall cause ACS to be paid the foregoing fees on a monthly basis within thirty (30) days of ACS' delivery of an invoice for the preceding month's Actions.

  • Account Fees The Company, by resolution of the Board of Directors, including a majority of the Independent Directors, may from time to time authorize the imposition of a fee as a direct charge against shareholder accounts of any class of one or more of the Funds, such fee to be retained by the Company or to be paid to the Investment Manager to defray expenses which would otherwise be paid by the Investment Manager in accordance with the provisions of paragraph 4 of this Agreement. At least sixty days prior written notice of the intent to impose such fee must be given to the shareholders of the affected Fund or Fund class.

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