Examples of Personal Securities Account in a sentence
No Security on the LAM Restricted List may be purchased or sold in any Personal Securities Account.
No transaction for a Personal Securities Account may be made in Securities sold in an initial public offering or secondary offering.
No transaction for a Personal Securities Account may be made in securities offered pursuant to an initial public offering.
If you maintain (i) Personal Securities Accounts with broker-dealers that are not on the list of Approved Brokers, or (ii) a Beneficial Interest in Financial Instruments not held in a Personal Securities Account, please contact the Compliance Officer to arrange for providing quarterly and annual reports within 30 days following quarter end.
You must agree to allow your broker-dealer to provide the Compliance Officer with electronic reports of your Personal Securities Accounts and transactions and to allow the Compliance department to access all Personal Securities Account information.