Signed Account Forms. At all material times, the Member had policies and procedures that prohibited its Approved Persons from obtaining or using pre-signed account forms.
Appears in 4 contracts
Samples: Settlement Agreement, Settlement Agreement, Settlement Agreement
Signed Account Forms. At all material times, the Member had Member’s policies and procedures that prohibited its Approved Persons from obtaining holding, obtaining, or using pre-signed account forms.
Appears in 3 contracts
Samples: Settlement Agreement, Settlement Agreement, Settlement Agreement
Signed Account Forms. At all material times, the Member had Member’s policies and procedures that prohibited its Approved Persons from obtaining or using pre-signed account forms.
Appears in 3 contracts
Samples: Settlement Agreement, Settlement Agreement, Settlement Agreement
Signed Account Forms. At all material times, the Member had Member’s policies and procedures that prohibited its Approved Persons from obtaining obtaining, holding, or using pre-signed account forms.
Appears in 2 contracts
Samples: Settlement Agreement, Settlement Agreement