Examples of Interests in securities in a sentence
Interests in securities comprising part of a broad-based, publicly traded market basket or index of stocks, approved for trading by the appropriate federal governmental authority.
Interests in securities held in an estate, trust, or partnership, or by a nominee, are examples of beneficial interests.
Every Access Person must disclose all Beneficial Interests in securities held in any existing Investment Account or otherwise to the Corporate Compliance Division.
If you own Beneficial Interests in securities not listed in an attached account statement, list them below: Name of Security Quantity Value Custodian ---------------- -------- ----- --------- 1.
Except as set forth on Schedule 3(e), the Company and the Subsidiaries are in all material respects in compliance with the applicable provisions of the Xxxxxxxx-Xxxxx Act of 2002, as amended, and the rules and regulations thereunder (collectively, “Xxxxxxxx-Xxxxx”).