Examples of Futures Intermediary in a sentence
The Collateral Agent agrees with each Pledgor that the Collateral Agent shall not give any Entitlement Orders or instructions or directions to any issuer of uncertificated securities, Securities Intermediary or Futures Intermediary, and shall not withhold its consent to the exercise of any withdrawal or dealing rights by such Pledgor, unless an Event of Default has occurred and is continuing or, after giving effect to any such investment and withdrawal rights, would occur.
The Commissions encourage market participants to seek interpretive guidance from the Federal Reserve Board regarding the circumstances in which the exception under section 7(c)(3) of the Exchange Act applies.c. Financial Relations between aSecurity Futures Intermediary and a Member of a National Securities Exchange or Association in Connection with Market Making Activities.
Attached hereto as Schedule 11 is a true and correct list of bank accounts, Securities Accounts and Futures Accounts maintained by each Grantor, including the name and address of the bank, Securities Intermediary or Futures Intermediary holding the account, as applicable, the type of account, the account number, whether such account is required to be subject to a Control Agreement pursuant to the Credit Agreement and, if not, why it is not so required.
Each Pledgor agrees that once the Collateral Agent sends an instruction or notice to a Securities Intermediary or Futures Intermediary exercising its Control over any Securities Account and Futures Account such Pledgor shall not give any instructions or orders with respect to such Securities Account or Futures Account including, without limitation, instructions for investment, distribution or transfer of any Investment Property or financial asset maintained in such Securities Account or Futures Account.
Posting of signs) Article 240-9 (1) A Commodity Futures Intermediary must post the sign designated by ordinance of the competent ministry in a conspicuous location at each of its business offices and offices.