Restricted Lists definition

Restricted Lists means any list of issuers or securities maintained by Morgan Stanley where trading in Employee Securities Accounts is restricted due to Firm policies or regulation.
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Restricted Lists means any list of issuers or securities maintained by Morgan Stanley where trading in Personal Securities Accounts is restricted due to Firm policies or regulation. SCHEDULE A SECURITIES TRANSACTION MATRIX
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Restricted Lists means any list of issuers or securities maintained by Morgan Stanley where trading in Personal Securities Accounts is restricted due to Firm policies or regulation.25 SCHEDULE ASECURITIES TRANSACTION MATRIXPooled Investment Vehicles: Closed-End Funds Yes Proprietary or Sub-advised Mutual Fund No NextsharesTM No Unit Investment Trusts No Exempt ETFs1 No Exchange-Traded Funds (ETFs) (not listed in the Exempt ETF List) Yes Exchange-Traded Notes (ETNs) Yes Hedge Funds Yes Equities: Morgan Stanley Securities2 Yes Common Stocks Yes Listed Depository Receipts e.g. ADRs, Ads, GDRs Yes DRIPs3 Yes Corporate Non-Voluntary Actions (e.g., Stock Splits, Mergers, Spin-off etc.) No Rights Yes Stock Dividend No Warrants (Listed and Exercised) Yes Preferred Stock Yes Listed Real Estate Investment Trusts (REITs) Yes Initial Public Offerings (equity IPOs) and Secondary/Follow on offerings
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Examples of Restricted Lists in a sentence

  • PPA Model Personnel will be notified of all such personal trading Blackout Periods and Restricted Lists in writing by local Compliance.

  • The contents of any Restricted Lists shall be considered material non-public information and is subject to the considerations of the Inside Information/Information Barrier Policy and Procedure.

  • The Preclearance Compliance Officer will retain copies of Restricted Lists for six years.

  • These Restricted Lists identify issuers that are subject to certain trading restrictions.

  • In order to comply with the federal securities laws and to detect and prevent both the misuse of material nonpublic information as well as the appearance of impropriety in connection with securities transactions, Investments Compliance maintains two confidential Restricted Lists containing the names of companies about which MetLife, its Affiliates, or any of their Associates possess material nonpublic information.

  • All records, including Watch Lists and Restricted Lists, must be kept for a minimum of five years in an easily accessible place.

  • The Restricted List(s) is a list of issuers in which an Adviser’s employees are restricted from trading.

  • Issuers may be added to the Restricted List(s) in the event that the Adviser or certain of its employees have actual possession of material non-public information about a company or transaction.

  • Code of Ethics and Insider Trading Policy Transactions in Securities on Applicable Restricted List(s) Prohibited From time to time, associates in the Company may come into possession of non-public information about a particular company.

  • Corporate and Departmental Restricted Lists: Employees are not permitted to buy or sell any Securities that are included on the Firm Restricted List and/or other applicable restricted lists.


More Definitions of Restricted Lists

Restricted Lists means Restricted List - Level I (“Grey List - Designated Persons and PI List”) and Restricted List - Level II (“Employees and PI Restriction”) as maintained under the Prevention of Insider Trading Policy of Ambit Group.
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Restricted Lists means any list of issuers or securities maintained by Morgan Stanley where trading in Employee Securities Accounts is restricted due to Firm policies or regulation.II.TYPES OF ACCOUNTS/ACCOUNT OPENING REQUIREMENTS
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Restricted Lists means any list of issuers or securities maintained by Morgan Stanley where trading in Personal Securities Accounts is restricted due to Firm policies or regulation.SCHEDULE ASECURITIES TRANSACTION MATRIXPooled Investment Vehicles:Closed-End Funds Proprietary or Sub-advised Mutual Fund Unit Investment Trusts Exempt ETFs1 Exchange-Traded Funds (ETFs) (not listed in the Exempt ETF List) Exchange-Traded Notes (ETNs) Hedge Funds Equities:Morgan Stanley Securities2 Common Stocks Listed Depository Receipts e.g. ADRs,Ads, GDRs DRIPs3 Corporate Non-Voluntary Actions (e.g., Stock Splits, Mergers, Spin-off etc.) Rights Stock Dividend Warrants (Listed and Exercised) Preferred Stock Listed Real Estate Investment Trusts (REITs) Initial Public Offerings (equity IPOs) and Secondary/Follow on offerings
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Related to Restricted Lists

  • Restricted network provision means any provision which conditions the payment of benefits, in whole or in part, on the use of network providers.

  • Highly restricted personal information means an individual’s photograph or image, social security number, digitized signature, and medical and disability information.

  • Restricted Person shall have the meaning assigned to such term in Section 6.9(i).

  • Permitted Licenses are (A) licenses of over-the-counter software that is commercially available to the public, and (B) non-exclusive and exclusive licenses for the use of the Intellectual Property of Borrower or any of its Subsidiaries entered into in the ordinary course of business, provided, that, with respect to each such license described in clause (B), (i) no Event of Default has occurred or is continuing at the time of such license; (ii) the license constitutes an arms-length transaction, the terms of which, on their face, do not provide for a sale or assignment of any Intellectual Property and do not restrict the ability of Borrower or any of its Subsidiaries, as applicable, to pledge, grant a security interest in or lien on, or assign or otherwise Transfer any Intellectual Property; (iii) in the case of any exclusive license, (x) Borrower delivers ten (10) days’ prior written notice and a brief summary of the terms of the proposed license to Collateral Agent and the Lenders and delivers to Collateral Agent and the Lenders copies of the final executed licensing documents in connection with the exclusive license promptly upon consummation thereof, and (y) any such license could not result in a legal transfer of title of the licensed property but may be exclusive in respects other than territory and may be exclusive as to territory only as to discrete geographical areas outside of the United States; and (iv) all upfront payments, royalties, milestone payments or other proceeds arising from the licensing agreement that are payable to Borrower or any of its Subsidiaries are paid to a Deposit Account that is governed by a Control Agreement.

  • Restricted Information means any information which is disclosed to one party to this Agreement by the other pursuant to or in connection with this Agreement (whether orally or in writing, and whether or not such information is expressly stated to be confidential or marked as such);

  • Significant Restricted Subsidiary means any Restricted Subsidiary, or group of Restricted Subsidiaries, that would, taken together, be a “significant subsidiary” as defined in Article 1, Rule 1-02 (w)(1) or (2) of Regulation S-X promulgated under the Securities Act, as such regulation is in effect on the Issue Date.