Personal Trading definition

Personal Trading means the Purchase or Sale of Securities by an individual for his or her own account, any other account in which he or she is a Beneficial Owner, or any account (other than an account of an Aquila Fund) for which the Aquila employee decides what securities transactions will be effected for the account, either by making recommendations to the account owner or by entering orders directly with the broker handling the account.
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Personal Trading means the purchase or sale of Securities by an individual for his or her own account, any other account in which he or she has a "beneficial ownership" interest, or any account "controlled" by him or her. An account is "controlled" by a person when that person decides what securities transactions will be effected for the account, either by making recommendations to the account owner or by entering orders directly with the broker handling the account.
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Personal Trading or “Personal Trades” means trades or transactions by Access Persons in their Personal Accounts.
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Examples of Personal Trading in a sentence

  • An Access Person can satisfy these reporting requirements by providing Personal Trading Compliance with a current copy of his or her brokerage account or other account statements, which hold or can hold Covered Securities.

  • You are encouraged to bring any questions you may have about the Code to Personal Trading Compliance.

  • All orders must expire at the end of the trading day on which they are pre-cleared unless otherwise extended by Personal Trading Compliance.

  • Within 10 days after becoming an Access Person, each Access Person must file with Personal Trading Compliance, a report of all Covered Securities holdings (including holdings of Reportable Funds) in which such Access Person has Beneficial Ownership or Investment Control.

  • This form must be completed and submitted to Personal Trading Compliance by the Access Person within 10 days of becoming an Access Person.

  • In determining whether to approve such Outside Activity, Personal Trading Compliance and the Chief Compliance Officer will consider whether such service will involve an actual or perceived conflict of interest with client trading, place impediments on Loomis Sayles’ ability to trade on behalf of clients or otherwise materially interfere with the effective discharge of Loomis Sayles’ or the Access Person’s duties to clients.

  • The Personal Trading Policy shall set forth the Compliance pre-clearance procedures as well as any exceptions to the pre-clearance requirement.

  • Jennison recognizes that some of its employees may, due to their living arrangements, be uncertain as to their obligations under this Personal Trading Policy.

  • Such a reversal may be required even for a pre-cleared transaction that results in an inadvertent conflict or a breach of black out period requirements under the Personal Trading Policy.

  • Please see the Personal Trading Policy for further details on transactions covered or exempted from the minimum investment holding period.


More Definitions of Personal Trading

Personal Trading means personnel of a market participant trading for his or her personal account or indirect benefit (for example, for their immediate family members or other close parties).
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Personal Trading or “ Pe r s onal T r ades ” means trades or transactions by Access Persons in their
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Personal Trading means the purchase or sale of Securities by an individual for his or her own account, any other account in which he or she has a "beneficial ownership" interest, or any account "controlled" by him or her. An account is "controlled" by a person when that person
Sample 1
Personal Trading means the purchase or sale of securities by an individual for his or her own account, any other account in which he or she has a "beneficial ownership" interest, or any account (other than an account of an advisory client of FSIM) "controlled" by him or her. As stated above, an account is "controlled" by a FSIM employee where that employee decides what securities transactions will be effected for the account, either by making recommendations to the account owner or by entering orders directly on behalf of the account.
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Related to Personal Trading

  • international traffic means any transport by a ship or aircraft operated by an enterprise of a Contracting State, except when the ship or aircraft is operated solely between places in the other Contracting State;

  • Principal Trading Market means the Trading Market on which the Common Stock is primarily listed on and quoted for trading, which, as of the date of this Agreement and the Closing Date, shall be the Nasdaq Capital Market.

  • Recreational trail means a trail, lane, path, road, or other right of way that because of its scenic, wild, or topographical nature, has as its primary purpose recreational use of the trail itself.

  • International Trade Laws means all Laws relating to the import, export, re-export, deemed export, deemed re-export, or transfer of information, data, goods, and technology, including but not limited to the Export Administration Regulations administered by the United States Department of Commerce, the International Traffic in Arms Regulations administered by the United States Department of State, customs and import Laws administered by United States Customs and Border Protection, any other export or import controls administered by an agency of the United States government, the anti-boycott regulations administered by the United States Department of Commerce and the United States Department of the Treasury, and other Laws adopted by Governmental Authorities of other countries relating to the same subject matter as the United States Laws described above.

  • Vocational training or "vocational education" means

  • Abusive Trading means the following actions, but not limited to, pip-hunting, scalping, arbitrage, manipulations or exploitation of any temporal and/or minor inaccuracy in any rate or price offered on the Trading Platform, a combination of faster/slower feeds, use of any robots, spiders or other automated data entry system with the Trading Platform (unless the Client receives express written consent by the Company prior to activating the robot), violation of the Client’s obligations under paragraph 2 of Appendix.

  • Insider Trading means the use of Material Non-Public Information to trade in a Security (whether or not one is an Access Person) or the communication of Material Non-Public Information to others. Insider Trading generally includes:

  • Local Traffic for the purposes of this Agreement the Parties shall agree that “Local Traffic” means traffic (excluding Commercial Mobile Radio Service “CMRS” traffic) that is originated and terminated within Embarq’s local calling area, or mandatory extended area service (EAS) area, as defined by the Commission or, if not defined by the Commission, then as defined in existing Embarq Tariffs. For this purpose, Local Traffic does not include any ISP-Bound Traffic.

  • organised trading facility or ‘OTF’ means a multilateral system which is not a regulated market or an MTF and in which multiple third-party buying and selling interests in bonds, structured finance products, emission allowances or derivatives are able to interact in the system in a way that results in a contract in accordance with Title II of this Directive;

  • multilateral trading facility or ‘MTF’ means a multilateral system, operated by an investment firm or a market operator, which brings together multiple third-party buying and selling interests in financial instruments – in the system and in accordance with non-discretionary rules – in a way that results in a contract in accordance with Title II of this Directive;

  • Free Trading means that (a) the Exchange Shares have been cleared and approved for public resale by the compliance departments of Lender’s brokerage firm and the clearing firm servicing such brokerage, and (b) such shares are held in the name of the clearing firm servicing Lender’s brokerage firm and have been deposited into such clearing firm’s account for the benefit of Lender.

  • National Treasury means the National Treasury established by section 5 of the Public Finance Management Act;

  • National Road Traffic Act means the National Road Traffic Act, 1996 (Act 93 of 1996);

  • multilateral trading facility (MTF means a multilateral system in the Union within the meaning of Article 2(1)(6) of Regulation[MiFIR].

  • Violent felony means the same as that term is defined in Section 76-3-203.5.

  • Consumer-owned utility means a municipal electric utility

  • Internet Protocol or “IP” means a communications protocol for devices connected to the Internet that specifies the format for addresses and units of transmitted data.

  • Trading means and includes subscribing, buying, selling, dealing, or agreeing to subscribe, buy, sell, deal in any securities, and "trade" shall be construed accordingly.

  • Interexchange Carrier or "IXC" means a Carrier that provides InterLATA or IntraLATA Toll services.

  • Interexchange Carrier (IXC) means a carrier that provides, directly or indirectly, InterLATA or IntraLATA Telephone Toll Services.

  • Medical control means a person who provides medical supervision to an emergency medical service provider.

  • Insider Trading Regulations means the Securities and Exchange Board of India (Prohibition of Insider Trading) Regulations, 2015, as amended from time to time.

  • Voice over internet protocol service means any service that:

  • Dating violence means violence committed by a person who is or has been in a social relationship of a romantic or intimate nature with the victim. The existence of a romantic or intimate relationship will be determined based on the length of the relationship, the type of relationship and the frequency of interaction between the persons involved in the relationship.

  • General anesthesia means a drug-induced loss of consciousness during which patients are not arousable, even by painful stimulation. The ability to independently maintain ventilatory function is often impaired. Patients often require assistance in maintaining a patent airway, and positive pressure ventilation may be required because of depressed spontaneous ventilation or drug-induced depression of neuromuscular function. Cardiovascular function may be impaired.

  • Violent student means a student under the age of 21 who: