Unlinked Brokerage Account definition

Unlinked Brokerage Account means a personal or Associated Account that is maintained with a brokerage company that does not have an electronic broker feed relationship with PTCC, including any securities personally held by the employee (such as a bearer bond).
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Unlinked Brokerage Account means a personal or Associated Account that is maintained with a brokerage company that does not have an electronic broker feed relationship with PTCC including any securities personally held by the employee (such as a bearer bond). Please also note: Options are considered equivalent to the underlying security, and you must be careful to avoid having an option assignment generate a short-term profit. For example, if you purchase securities and sell a call for those securities with an expiration date beyond 60 days you are not necessarily safe. If the call option that you sold is exercised and you are forced to deliver your securities within 60 days from the time of purchase, this will be considered a short-term trade. Options in the same security or commodity, regardless of strike price or expiration date, are equivalent to each other and to the underlying security or commodity.
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Unlinked Brokerage Account means a personal or Associated Account that is maintained with a brokerage company that does not have an electronic broker feed relationship with PTCC, including any securities personally held by the employee (such as a bearer bond).Insider Trading, Tipping and Confidential InformationIt is the policy of the Firm that employees:●Must not buy, sell or recommend that anyone else buy, sell, or retain, the securities of any company (including Corteva) while in possession of inside information regarding such company. This prohibition on insider trading applies not only to personal transactions, but also bars trading for client accounts. ●Must not disclose inside information to anyone, inside or outside the Firm (including family members), except to those who have a need to know such information in order for the Firm to carry on its business properly and effectively. Also, any permitted disclosure may only be made under circumstances that make it reasonable to believe that the information will not be misused or improperly disclosed by the recipient. ●Must use the Firm’s confidential information solely for legitimate Firm purposes and must not improperly disclose such information. ●Must use and protect all confidential information received from others strictly in accordance with the terms of the agreement or understanding under which the information was received and with at least the same degree of care that would be applied to the Firm’s comparable confidential information. Personal Securities Transactions and HoldingsThe Firm’s employees are permitted to invest for their own account, provided that such investment activity must always comply with applicable laws and regulations and must be carried out in a manner consistent with the Firm’s policies. In addition, personal securities transactions must avoid even the appearance of a conflict of interest.The procedures and guidelines listed below specify reporting obligations and additional rules of conduct that must be adhered to by the Firm’s employees regarding transactions and holdings in personal and Associated Accounts. However, pre-clearance and reporting of personal Securities transactions and adherence to the other rules discussed below do not relieve employees of responsibility for compliance with the proscriptions against insider trading and tipping set forth above.Attachment A provides a summary of pre-clearance and reporting requirements.
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Examples of Unlinked Brokerage Account in a sentence

  • Unlinked Brokerage Account(s): Employees with an Unlinked Brokerage Account must report and validate trades in any personal or Associated Account within thirty (30) days following the calendar quarter in which such transactions occur.

  • Employees with an Unlinked Brokerage Account must report and validate trades in any personal or Associated Account within thirty (30) days following the end of the calendar quarter in which such transactions occur.

  • Unlinked Brokerage Account(s): All employees with an Unlinked Brokerage Account must arrange for the Chief Compliance Officer to receive directly from any broker, dealer or bank duplicate copies of account statements covering Securities transactions and holdings for each brokerage account in which the employee has a direct or indirect Beneficial Interest, regardless of what, if any, Securities are maintained in such accounts.

  • Unlinked Brokerage Account(s): All employees with an Unlinked Brokerage Account must arrange for the CCO to receive directly from any broker, dealer or bank duplicate copies of account statements covering Securities transactions and holdings for each brokerage account in which the employee has a direct or indirect Beneficial Interest, regardless of what, if any, Securities are maintained in such accounts.

  • Unlinked Brokerage Account(s): Employees with an Unlinked Brokerage Account must report and validate trades in any personal or Associated Account within thirty (30) days following the end of the calendar quarter in which such transactions occur.

  • All employees with an Unlinked Brokerage Account must arrange for the CCO to receive directly from any broker, dealer or bank duplicate copies of account statements covering Securities transactions and holdings for each brokerage account in which the employee has a direct or indirect Beneficial Interest, regardless of what, if any, Securities are maintained in such accounts.

Related to Unlinked Brokerage Account

  • Brokerage Account means any account with a broker, dealer or bank that may hold securities.

  • Linked Account means any controlled disbursement account, controlled balance account or other deposit account maintained by a Collection Account Bank for the Parent, the Performance Guarantor, the Servicer, any Originator or any Affiliate thereof and linked to any Collection Account by a zero balance account connection or other automated funding mechanism or controlled balance arrangement.

  • Investment Account As defined in Section 3.12(a).

  • Merchant Account means an account used to submit credit card or debit card transactions or process credit card or debit card transactions.

  • Trading Account means the unique personified registration system of all Completed Transactions, Open Positions, Orders and deposit/withdrawal transactions in the Trading Platform.

  • Online Account means the Bank account from which you will be conducting transactions using a Service;

  • Settlement Account means an account established at a financial institution designated by Merchant as the account to be credited and debited by the Servicers for Transactions, Card Fees, Chargebacks and other amount assessed by a Card Association and passed- through to Merchant pursuant to the terms of this Agreement.

  • Client Account means any account opened by the Client at the Company including Transitory Accounts, trading accounts, partner accounts, Manager's accounts, Investor's accounts and other account types.

  • Investment Accounts means the Collateral Account, Securities Accounts, Commodities Accounts and Deposit Accounts.

  • Fund Custody Account means any of the accounts in the name of the Trust, which is provided for in Section 3.2 below.

  • Liquidity Account Investments means Deposit Securities or any other security or investment owned by the Fund that is rated not less than A3 by Moody’s, A- by Standard & Poor’s, A- by Fitch or an equivalent rating by any other NRSRO (or any such rating’s future equivalent) or if not rated, determined by the Adviser to be of comparable quality.

  • Separate Accounts means the accounts which are to be prepared for each

  • Transaction Account means a cash account established and maintained by Repo Custodian for the Funds to effect repurchase transactions pursuant to the Master Agreement.

  • In-Service Account means a separate account to be kept for each Participant that has elected to take in-service distributions as described in Section 5.4. The In-Service Account shall be adjusted in the same manner and at the same time as the Deferred Compensation Account under Section 8 and in accordance with the rules and elections in effect under Section 8.

  • Investment Funds means all monies and financial resources available for investment by the Authority, other than proceeds of bonds issued by the Authority.

  • Lock-Box Account With respect to any Mortgaged Property, if applicable, any account created pursuant to any documents relating to a Mortgage Loan or Serviced Loan Combination to receive rental or other income generated by the Mortgaged Property. Any Lock-Box Account shall be beneficially owned for federal income tax purposes by the Person who is entitled to receive the reinvestment income or gain thereon in accordance with the terms and provisions of the related Mortgage Loan or Serviced Loan Combination and Section 3.07 of this Agreement, which Person shall be taxed on all reinvestment income or gain thereon.

  • Principal Funding Account Investment Proceeds shall have the meaning specified in subsection 4.03(a)(ii).

  • Separate Account shall have the respective meanings assigned to such terms in Section 3 of ERISA.

  • Purchase Account means the account so designated in each Purchase and Remarketing Fund.

  • Holding Account means an account:

  • Special Account means the account referred to in Section 2.02 (b) of this Agreement;

  • Cash Account has the meaning set forth in Section 2.1(a)(ii).

  • Client Accounts means accounts of Clients (i) that are Controlled by an Access Person and (ii) in which no Access Person has a substantial proportionate economic interest; provided that, the Client pays a management, advisory or any other similar arms-length fee to the Access Person and the beneficiary of the Client Account is not an Immediate Family member of an Access Person.

  • FT Account Pool #: Mortgagor's Name, Address and Zip Code: Mortgage Loan Number: Reason for Requesting Documents (check one)

  • Special Accounts means the accounts referred to in Section 2.02 (b) of this Agreement;

  • Accumulation Account The account designated as such, established and maintained pursuant to Section 5.01(a)(iii) of the Trust Sale and Servicing Agreement.