Initial Holdings Report definition

Initial Holdings Report means the written or electronic list prepared and delivered to Investments Compliance by a new Access Person within 10 days of becoming an Access Person.

Initial Holdings Report means the written or electronic list prepared and

Initial Holdings Report means the written or electronic list prepared and delivered to the CCO by a new Access Person within 10 days of becoming an Access Person.

Examples of Initial Holdings Report in a sentence

• The Initial Holdings Report must contain a listing of all securities (excluding exempt securities) held in the aforementioned accounts and any securities (excluding exempt securities) held outside of these accounts (e.g., physical securities held in a safe deposit box, paper certificates, etc.).

• If the above information is contained on the Access Person’s brokerage statement, he or she may attach the statement and sign the Initial Holdings Report.·The Initial Holdings Report is attached as Exhibit 2 to this Code.

• The information in the Initial Holdings Report must be current as of a date no more than 45 days prior to the date the person became an employee.

• Within 10 calendar days of being assigned a classification, you must file an Initial Broker Accounts Report and an Initial Holdings Report in the PTA.

• Both the Initial Broker Accounts Report and the Initial Holdings Report must be an accurate recording of security accounts and security holdings within the last 45 calendar days after receiving your employee classification.

• Both the Initial Broker Accounts Report and the Initial Holdings Report must be an accurate recording of security accounts and security holdings within the last 45 calendar days after receiving your employee classification.Note: Monitored Employees are required to report any directly- or indirectly-owned accounts that have the capability of holding securities (excluding exempt securities), regardless of what the accounts are currently holding.

• No later than 10 calendar days after you become an Access Person, you must file with the Chief Compliance Officer an Initial Holdings Report.

• Within 10 calendar days of being assigned a classification and informed by the Ethics Office, you must file an Initial Broker Accounts Report and an Initial Holdings Report (excluding Pershing employees) in the PTA.

• No later than 10 days after you become an Access Person, you must file with the Compliance Officer an Initial Holdings Report.

• The Initial Holdings Report also requires you to confirm that you have read and understand this Code; that you understand that it applies to you and members of your Family/Household; and that you are considered an Access Person under the Code.

More Definitions of Initial Holdings Report

Initial Holdings Report means the report attached as Schedule C, which all Access Persons are required to complete and return to the Administrator within 10 days after becoming an Access Person under this Code.