Common use of Trading Activity Functions Clause in Contracts

Trading Activity Functions. Broker shall perform the following functions as introducing firm for its prime brokerage customers: a. Report all trading activity for the accounts of Broker’s prime brokerage customers (whether executing with Pershing or away) to Pershing via iPartner, NetExchange Advisor (or other agreed upon method) on trade date by a time to be determined by Pershing and Broker from time to time. b. Assure that access to iPartner is limited to authorized persons only. c. Accept, via electronic mail (or telephone) on T+1, information regarding all trade breaks and respond to the Investment Management Services (“PIMS”) group of Pershing regarding resolution of such trade breaks by 12:00 noon (NYC time) on T+1. d. Obtain pre-approval from Pershing for any short sales directed by Broker’s prime brokerage customers. e. Provide all information to Pershing related to the eligibility of any of Broker’s customers to receive or to continue to receive prime brokerage services.

Trading Activity Functions. Broker shall perform the following functions as introducing firm for its prime brokerage customers: a. Report all trading activity for the accounts of Broker’s prime brokerage customers (whether executing with Pershing or away) to Pershing via iPartner, NetExchange Advisor (or other agreed upon method) on trade date by a time to be determined by Pershing and Broker from time to time. b. Assure that access to iPartner is limited to authorized persons only. c. Accept, via electronic mail (or telephone) on T+1, information regarding all trade breaks and respond to the Investment Management Services (“PIMS”) group of Pershing regarding resolution of such trade breaks by 12:00 noon (NYC time) on T+1.. Pg. 17 d. Obtain pre-approval from Pershing for any short sales directed by Broker’s prime brokerage customers. e. Provide all information to Pershing related to the eligibility of any of Broker’s customers to receive or to continue to receive prime brokerage services.

Trading Activity Functions. Broker shall perform the following functions as introducing firm for its prime brokerage customers: a. Report all trading activity for the accounts of Broker’s 's prime brokerage customers (whether executing with Pershing or away) to Pershing via iPartner, NetExchange Advisor (or other agreed upon method) on trade date by a time to be determined by Pershing and Broker from time to time. b. Assure that access to iPartner is limited to authorized persons only. c. Accept, via electronic mail (or telephone) on T+1, information infom1ation regarding all trade breaks and respond to the Investment Management Services (“"PIMS”") group of Pershing regarding resolution of such trade breaks by 12:00 noon (NYC time) on T+1. d. Obtain pre-approval from Pershing for any short sales directed by Broker’s 's prime brokerage customers. e. Provide all information to Pershing related to the eligibility of any of Broker’s 's customers to receive or to continue to receive prime brokerage services.