Personal Brokerage Account definition

Personal Brokerage Account means any brokerage account in which the Access Person has a direct or indirect Beneficial Ownership interest (e.g., brokerage accounts in the name of the Access Person, his or her spouse and minor children, adults living in his or her household and in the name of trusts for which the Access Person is a trustee or in which the Access Person has a Beneficial Ownership interest), including any retirement account or account associated with a company stock purchase plan capable of transacting in Reportable Securities (e.g., Individual Retirement Accounts, self-directed 401(k) plans) in which an Access Person may trade or custody a Reportable Security, even if the account currently holds only non-Reportable Securities. Accounts in which Access Persons have no investment discretion are not required to be disclosed in any report required to be submitted hereunder.
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Personal Brokerage Account means any brokerage account in which the Access Person has a direct or indirect Beneficial Ownership interest (e.g., brokerage accounts in the name of the Access Person, his or her spouse and minor children, adults living in his or her household and in the name of trusts for which the Access Person is a trustee or in which the Access Person has a Beneficial Ownership interest), including any retirement account or account associated with a company stock purchase plan capable of transacting in Reportable Securities (e.g., Individual Retirement Accounts, self-directed 401(k) plans) in which an Access Person may trade or custody a Reportable Security, even if the account currently holds only non-Reportable Securities. Managed accounts meeting the requirements issued by the SEC (see https://www.sec.gov/investment/im-guidance-2015-03.pdf) are required to be disclosed to the Compliance Department, but transactions in such managed accounts need not be reported for as long as the account meets the SEC requirements.
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Personal Brokerage Account means any brokerage account in which the Access Person has a direct or indirect Beneficial Ownership interest (e.g., brokerage accounts in the name of the Access Person, his or her spouse and minor children, adults living in his or her household and in the name of trusts for which the Access Person is a trustee or in which the Access Person has a Beneficial Ownership interest), including any retirement account or account associated with a company stock purchase plan capable of transacting in Reportable Securities (e.g., Individual Retirement Accounts, self-directed
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Examples of Personal 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.

  • 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.

  • If you maintain a Personal Brokerage Account at a broker-dealer other than at an Approved Broker, you will need to close those accounts or transfer them to an Approved Broker within a specified period of time as determined by the Compliance Officer.

  • 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.

  • 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 pre-clearance 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.

  • Similarly, failure by an Employee to report the existence of a Personal Brokerage Account (and, if the account is opened after joining PanAgora, failure to obtain proper authorization to establish the account) shall be a violation of this Rule.

  • If you maintain a Personal Brokerage Account at a broker-dealer other than at an Approved Broker, you will need to close those accounts or transfer them to an Approved Broker within a specified period of time, unless otherwise granted an exemption by a Compliance Officer.


More Definitions of Personal Brokerage Account

Personal Brokerage Account means an arrangement under a Plan that allows participants to invest their account balances in stocks, bonds, mutual funds or other investments beyond those investment options offered by the Plan as designated investment alternatives. In providing the Services, our authority and responsibility is limited solely to providing analysis, reports and recommendations, and this Agreement does not provide any discretionary power or authority to Wilshire. You retain absolute discretion and responsibility for determining your Plan's investment line-up and determining what action if any to take with respect to any analysis, report or recommendation that we may provide. Included in the universe of investment options made available to your Plan by the Recordkeeper are the Affiliated Investment Services, which are managed by NIA, an affiliate of your Recordkeeper. NIA has separately engaged Wilshire to provide services to NIA as an Independent Financial Expert (IFE) with respect to such Affiliated Investment Services. You may decide whether or not to include any of the Affiliated Investment Services in your Plan’s investment line-up. We do not modify these or any other models or managed accounts to reflect your Plan's individual features. When selecting your Plan's investment line-up, you are responsible for selecting an investment line-up for your Plan that meets the diversification requirements set forth under ERISA Section 404(c)(1) of ERISA (the “Diversification Requirements”). You retain sole responsibility for selecting "qualified default investment alternatives" within the meaning of DOL regulations issued under ERISA Section 404(c)(5) (the “QDIA Requirements”). As Plan Fiduciary, you are responsible for selecting Nationwide as the Recordkeeper. You acknowledge that the investment option universe available to the Plan may be limited by service arrangements of the Recordkeeper and/or your Plan’s financial professional and may change from time to time as a result of actions by investment providers or other parties (including the Recordkeeper) that are not within our control. You agree and acknowledge that our selection and monitoring of the Select List will be subject to any limitations or changes in the investment option universe available to the Plan. We will rely on the Recordkeeper to timely communicate to you any changes to the available investment option universe and Select List, as well as all other required communications to you, and we will not be liable t...
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Personal Brokerage Account means (1) any account (including any custody account, safekeeping account, retirement account such as an IRA or 401(k) plan, and any account maintained by an entity that may act as a broker or principal) in which an Employee has any direct or indirect Beneficial Interest, including Personal Brokerage Accounts and trusts for the benefit of such persons; and (2) any account maintained for a financial dependent. Thus, the term “Personal Brokerage Accounts” also includes among others:
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Related to Personal Brokerage Account

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

  • Personal Account means any account owned by, or in the name of, an OppenheimerFunds Employee or Access Person in which Securities may be held or any such account in which an Employee (including an Access or Investment Person) has a Beneficial Interest.

  • Personal vehicle means a vehicle that is:

  • General Account consists of all our assets other than those held in any separate investment accounts.

  • Fund Custody Account means any of the accounts in the name of the Trust, which is provided for in Section 3.2 below.

  • Eligible Deposit Account means either (a) a segregated account with an Eligible Institution or (b) a segregated trust account with the corporate trust department of a depository institution organized under the laws of the United States of America or any one of the states thereof or the District of Columbia (or any domestic branch of a foreign bank), having corporate trust powers and acting as trustee for funds deposited in such account, so long as any of the securities of such depository institution shall have a credit rating from each Rating Agency in one of its generic rating categories that signifies investment grade.

  • In-Service Account means a separate account to be kept for each Participant that has elected to take in-service distributions as described in Section 5.4. The In-Service Account shall be adjusted in the same manner and at the same time as the Deferred Compensation Account under Section 8 and in accordance with the rules and elections in effect under Section 8.

  • Online Account means the Bank account from which you will be conducting transactions using a Service;

  • Bank Account means one or more accounts opened, maintained and operated by the Portfolio Manager with any of the Scheduled Commercial Banks in accordance with the agreement entered into with the Client.

  • Trading Account means the unique personified register of all completed transactions, open positions, orders and nontrading operations on the trading platform.

  • Direct Account : means any Account which is not an ISA Account.

  • Personal Pay means additional pay granted to an employee:

  • Cardholder Account is the account of a Cardholder as represented by a Card.

  • Professional Fee Escrow Account means an interest-bearing account funded by the Debtors with Cash on the Effective Date in an amount equal to the Professional Fee Amount.

  • Designated Bank Account means the relevant bank account designated by each Holder;

  • Individual retirement account means a trust, custodial arrangement, or annuity under Section 408(a) or (b), Internal Revenue Code of 1954 (26 U.S.C. Section 408 (1986)).

  • Sub-Account means any of the individual sub-accounts of a Participant’s Account that is maintained as provided in Article VIII.

  • Separate Account shall have the respective meanings assigned to such terms in Section 3 of ERISA.

  • Eligible Depository Any Reserve Bank or any depository institution or trust company incorporated under the laws of the United States of America or any state thereof and subject to supervision and examination by federal or state banking authorities, so long as at the time of determination of eligibility the commercial paper or other short-term debt obligations of such depository institution or trust company (or, in the case of a depository institution that is the principal subsidiary of a holding company, the commercial paper or other short-term debt obligations of such holding company) have the Highest Credit Rating Available from at least one Rating Agency.

  • Participating Account a separate account investing all or a portion of its assets in the Trust, including the Account.

  • Designated Retirement Account means any retirement plan or account described or qualified under the Internal Revenue Code of 1986, as amended, or a subaccount thereof.

  • Depository Account includes any commercial, checking, savings, time, or thrift account, or an account that is evidenced by a certificate of deposit, thrift certificate, investment certificate, certificate of indebtedness, or other similar instrument maintained by a Financial Institution in the ordinary course of a banking or similar business. A Depository Account also includes an amount held by an insurance company pursuant to a guaranteed investment contract or similar agreement to pay or credit interest thereon.

  • Retirement Account means any retirement or pension fund or account, listed in Iowa Code section 627.6(8)“f” as exempt from execution, regardless of the amount of contribution, the interest generated, or the total amount in the fund or account.

  • Authorized Bank Account means any Officially Designated bank account to which redemption proceeds may be sent.

  • Account Information Service Provider means a payment service provider pursuing business activities as referred to in point (8) of Annex I;