Brokerage Account definition

Brokerage Account means any account with a broker, dealer or bank that may hold securities.

Brokerage Account means the brokerage account established under the Plan by the Company for each Participant, to which Shares purchased under the Plan shall be credited.

Brokerage Account means the general securities brokerage account, or such other account or record determined appropriate by the Company, established and maintained for the Plan with any entity selected by the Company, in its discretion, to assist in the administration of, and purchase of shares under the Plan.

Examples of Brokerage Account in a sentence

• Upon opening a Personal Brokerage Account at an Approved Broker, Employees are required to disclose the Personal Brokerage Account to the Compliance Officer.

• Such records include: copies of this Code and any amendments hereto, all Personal Brokerage Account statements and reports of Employees, a list of all Employees and persons responsible for reviewing Employees reports, copies of all preclearance forms, records of violations and actions taken as a result of violations, and acknowledgments, certifications and other memoranda relating to the administration of this Code.

• By maintaining your Personal Brokerage Account with one or more of the Approved Brokers, you and your Immediate Family Member’s quarterly and annual trade summaries will be sent directly to the Compliance department for review.

• You must agree to allow your broker-dealer to provide the Compliance Officer with electronic reports of your Personal Brokerage Accounts and transactions and to allow the Compliance department to access all Personal Brokerage Account information.

• By maintaining your Personal Brokerage Account with one or more of the Approved Brokers, you and your Immediate Family Member’s quarterly and annual trade summaries will be sent directly to the Compliance Department for review.

More Definitions of Brokerage Account

Brokerage Account means any account in which a Supervised Person can transact in Securities, including dividend reinvestment programs, employee stock purchase programs, and employee stock option programs.

Brokerage Account means the account in which the Purchased Shares are held.

Brokerage Account means an account held at a licensed/registered brokerage firm in which securities may be bought and sold (e.g., stocks, bonds, futures, options, and mutual funds).

Brokerage Account means any commodity account that is owned by the Company and maintained with a commodity intermediary for trading in Commodities Contracts.

Brokerage Account means any securities account or commodity account included in the Collateral at any time together with all credit balances and money credited to the account, all investment property carried in the account, and, except as otherwise agreed by the Bank in writing, all other securities accounts and commodity accounts maintained by Pledgor with the same Institution.

Brokerage Account means the account(s) with Brokers in the name of the ICAV.

Brokerage Account means an account established on behalf of each Participant pursuant to Paragraph 9.1 hereof.