Examples of Trading Restrictions in a sentence

Although Discretionary Accounts are exempt from the provisions of Section 4 (Trading Restrictions) of this Code, they are still Covered Accounts and must comply with all other provisions of this Code, including this Section and Section 5 (Reporting and Certification Requirements).
With respect to any Client Trading Restrictions for which Client and Issuer have given Broker notice, Broker shall stop effecting trades under this Trading Plan, and this Trading Plan shall thereupon terminate.
With respect to any Client Trading Restrictions, Client and Issuer shall provide Broker notice of the anticipated duration of such restrictions, but shall not provide Broker information about the nature of such restrictions or any other information about such restrictions.
Trading Restrictions Initial Public Offering (“IPO”) - Investment Persons are prohibited from acquiring securities through an allocation by the underwriter of an initial public offering (“IPO”).
It is critical that any MAM Associate who is in doubt about the applicability of the Code in a given situation seek a determination from the Code Administrator or the Chief Compliance Officer about the propriety of the conduct in advance.3.1What Securities are Subject to the Code’s Personal Trading Restrictions & Requirements?Securities in which the Access Person has a Beneficial Interest are subject to the Code’s personal trading restrictions and requirements.

More Definitions of Trading Restrictions

Trading Restrictions means, as determined by Credit Suisse in its sole and absolute discretion, any restriction or prohibition from trading with any Eligible Dealer (whether by reason of any internal restriction (which internal restriction applies in the ordinary course of Credit Suisse's business) or external restriction or prohibition (including, without limitation, in respect of the Credit Suisse's regular internal credit, compliance and regulatory policies and requirements);

Trading Restrictions means (i) not entering into any transaction or series of transactions, through the facilities of the Canadian Securities Exchange (the “CSE”) or any stock exchange on which the common shares in the capital of Xigem (“Common Shares”) are listed, that results in the sale of a number of Common Shares that is greater than 30% of the volume-weighted average trading price, as adjusted for splits, combinations and other similar transactions, of a Common Share on the CSE or other principal stock exchange on which the Common Shares are then-listed or admitted to trading, calculated over the consecutive 10-trading day period ending on the close of trading on the trading day immediately prior to such date; and (ii) a floor price on the sale of any share of Consideration Shares equal to the volume- weighted average trading price of the common shares in the capital of Xigem (“Common Shares”) for the five trading days preceding such sale.

Trading Restrictions means restrictions on Dealing in Securities, as provided in clause 6 of the Code.

Trading Restrictions means, at any time, any extant restrictions notified by UOBBF to the Customer at that time with respect to entry by the Customer into Approved Contracts, including, without limitation, restrictions which:

Trading Restrictions. As described in Section 3(e) of the Underwriting Agreement. Closing date and June 20, 1997, 9:00 A.M. location: Simpson Thacher & Bartlett 000 Xxxxxxxon Xxxxxx Nex Xxxx, Xxx Xxxx 00000 Xxxxxxxxxx xxxxxxxxxxx: Xxxxxxx Xxxxxxxx Xxx Notices to underwriters: Notices to the Underwriters shall be directed to: Merrill Lynch & Co., Inc. Xxxxd Xxxxncial Center North Tower -- 30th Floor Xxx Xxxx, XX 00000-0000 Xxxxxxxxx xx Xxx Xxxxxe with copy tx: Simpson Thacher & Bartlett 000 Xxxxxxxon Xxxxxx Nex Xxxx, XX 00000 Xxxxxxxxx xx Xxxxx X. Gordon Option securities: None.