Trading Request definition

Trading Request means a request to trade a Reportable Security.
Sample 1Sample 2Sample 3

Examples of Trading Request in a sentence

  • The form of Personal Securities Trading Request is attached as Exhibit D.

  • The CCO shall submit his or her Personal Trading Request Form to the President (or the President's designee, in his or her absence) for approval.

  • Copies of all Personal Trading Request Forms submitted by Advisory Persons shall be retained by the CCO in accordance with Section XII of this Code.

  • Advisory Persons shall request approvals by submitting a request, electronically, on paper or by facsimile using the Personal Trading Request Form attached hereto as Appendix B.

  • A list of all persons who are, or within the past five years of business have been, required to file Personal Trading Request and Authorization Forms and Initial Holdings Reports, Quarterly Transaction Reports, Annual Holdings Reports and Conflict of Interest Reports pursuant to this Code and a list of those persons who are or were responsible for reviewing such Forms and Reports shall be maintained in an easily accessible place.

  • The CCO shall promptly notify the employee of approval or denial of clearance to trade by indicating such action on the Personal Securities Trading Request Form and returning it to the employee.

  • The CCO (or CEO, as applicable) shall promptly notify the Employee of approval or denial of clearance to trade by indicating such action on the Personal Securities Trading Request Form and returning it to the Employee.

  • Pre-clearance is obtained by first completing and signing the Personal Securities Trading Request Form.

  • A copy of each Personal Trading Request and Authorization Form and each Initial Holdings Report, Quarterly Transaction Report, Annual Holdings Report and Conflict of Interest Report prepared and submitted by an Employee pursuant to this Code must be preserved by the Compliance Officer as appropriate, for a period of not less than five years from the end of the fiscal year in which such report is made, the first two years in an easily accessible place.

  • Upon request, the Review Officer will promptly provide notifications of each Personal Trading Request and Authorizations to the Funds’ CCO.

Related to Trading Request

  • Funding Request shall have the meaning set forth in Section 5.3(a).

  • Borrowing Request means a request by the Borrower for a Borrowing in accordance with Section 2.03.

  • Interest Election Request means a request by the Borrower to convert or continue a Borrowing in accordance with Section 2.07.

  • Notice of Conversion shall have the meaning set forth in Section 4(a).

  • Issuance Request means a Letter of Credit request and certificate duly executed by an Authorized Officer of the Borrower, substantially in the form of Exhibit B-2 hereto.

  • Notice of Conversion or Continuation shall have the meaning provided in Section 2.6(a).

  • L/C Request has the meaning specified in Section 2.4(b).

  • Ruling Request means any letter filed by Parent with the IRS requesting a ruling regarding certain tax consequences of the Transactions (including all attachments, exhibits, and other materials submitted with such ruling request letter) and any amendment or supplement to such ruling request letter.

  • Notice of Conversion/Continuation means a notice in substantially the form of Exhibit B.

  • Form of Notice of Conversion means the “Form of Notice of Conversion” attached as Attachment 1 to the Form of Note attached hereto as Exhibit A.

  • Notice of Conversion/Extension means the written notice of conversion of a LIBOR Rate Loan to an Alternate Base Rate Loan or an Alternate Base Rate Loan to a LIBOR Rate Loan, or extension of a LIBOR Rate Loan, in each case substantially in the form of Exhibit 1.1(e).

  • Notice of Continuation/Conversion has the meaning specified in Section 2.2(b).

  • Issuance Notice means a written notice delivered to the Agent by the Company in accordance with this Agreement in the form attached hereto as Exhibit A that is executed by its Chief Executive Officer, President or Chief Financial Officer.

  • Swingline Borrowing Request means a request by a Borrower substantially in the form of Exhibit C-2.

  • Request for Advance means a Request for Revolving Credit Advance or a Request for Swing Line Advance, as the context may indicate or otherwise require.

  • Issuance Notice Date means any Trading Day during the Agency Period that an Issuance Notice is delivered pursuant to Section 3(b)(i).

  • Redemption Request has the meaning as set forth in Section 8.1.

  • Notice of Continuation or Conversion has the meaning provided in Section 2.10(b).

  • Notice of Borrowing has the meaning specified in Section 2.02(a).

  • Advance Request means a request for an Advance submitted by Borrower to Lender in substantially the form of Exhibit A.

  • Advance Request Form A certificate, in a form approved by Lender, properly completed and signed by Borrower requesting a Revolving Credit Advance.

  • Borrowing Notice is defined in Section 2.8.

  • Competitive Bid Quote Request means a Competitive Bid Quote Request substantially in the form of Exhibit "C" hereto completed and delivered by the Borrower to the Agent in accordance with Section 2.3.2.