Examples of Securities Requirements in a sentence
Upon becoming a Covered Person under this Policy, one must disclose all securities holdings (as indicated in Appendix E-Individual Securities Requirements) in which they have Beneficial Ownership (as defined in Appendix A-Definitions).
Types of Securities Subject to the Limited Choice PolicyThe types of securities that are subject to the Limited Choice Policy are specified on the Individual Securities Requirements List Appendix A.
Initial Holdings Report and Certification: Upon becoming a Covered Person under this Code, one must disclose all Brokerage Accounts with certain securities holdings (as indicated in the Individual Securities Requirements List – Appendix A) in which they have Beneficial Ownership.
The types of securities that are subject to the Limited Choice Policy are specified on the Individual Securities Requirements List Appendix D.
Initial Holdings Report and Certification: Upon becoming a Covered Person under this Code, one must disclose all Brokerage Accounts with certain securities holdings (as indicated in the Individual Securities Requirements List — Appendix A) in which they have Beneficial Ownership.