US Listed Securities definition

US Listed Securities means stocks and exchange traded funds (“ETF”) listed on specified security exchange markets of United States (18 market centres for securities trading including The New York Stock Exchange (“NYSE”), National Association of Securities Dealers Automated Quotations (“NASDAQ”), Chicago Stock Exchange (“CHX”)).
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US Listed Securities means ADRs, ADSs and such A shares of the Company listed on a US Market.
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Examples of US Listed Securities in a sentence

  • The Client further acknowledges that apart from the US Listed Securities, the Client may not be able to trade other securities listed on the US security exchange markets, or subscribe for shares or other types of securities from initial public offerings on the US security exchange markets.

  • The Client agrees that the Client is solely responsible for compliance with all notifications (including tax notifications), filings, returns, reports and other relevant regulations in connection with its interests in US Listed Securities as prescribed by the rules governing US Listed Securities and the Applicable Regulations from time to time, and for the monitoring of its interest holding positions in US Listed Securities in order to comply with any such regulations.

  • The Client undertakes to provide WLSL timely and accurate information relating to any restrictions on the sale or transfer of any US Listed Securities held in the Account.

  • The Client acknowledges that the Client will only be able to trade on the US Listed Securities as prescribed by the rules governing US Listed Securities trading, any other Applicable Regulations, and/or other regulations as stipulated by the Third-party broker and WLSL in their sole discretion from time to time.

  • In respect of any orders to sell or transfer US Listed Securities, the Client shall upon request provide WLSL with any necessary documents to the satisfaction of WLSL to satisfy any and all legal transfer requirements under the relevant regulations.

  • The Client acknowledges that since WLSL engages the Third-party Broker as the clearing broker for trade order execution, clearing, settlement and custody of US Listed Securities, WLSL will not be held liable to the Client for any legal liabilities in relation to such services or any default caused directly or indirectly by the Third-party Broker.

  • This Schedule VI applies to Clients who use WLSL’s Services in relation to US Listed Securities (as defined below) trading unless where the parties otherwise agree.

  • VIP Banking customers and general banking customers can enjoy a "Securities Trading Brokerage Fee at 0.2%" offer and a "Securities Trading Brokerage Fee at 0.25%" offer respectively for the trading transactions of US Listed Securities successfully executed through "US Securities Trading App" and through valid securities accounts maintained with the Bank.

  • Rather, in order to achieve realistic (!) goals it requires a sound economic evaluation, clear specification of the intentions of all partners, and the choice of the corresponding contract type in accordance with those intentions.

  • The Client undertakes to provide WLIS timely and accurate information relating to any restrictions on the sale or transfer of any US Listed Securities held in the Account.

Related to US Listed Securities

  • Listed Securities means any Shares, Share Options, stock, debentures, debenture stock or other securities for the time being issued by the Company and officially quoted by ASX;

  • Listed Security means any security of the Company that is listed or approved for listing on a national securities exchange or designated or approved for designation as a national market system security on an interdealer quotation system by the National Association of Securities Dealers, Inc.

  • Exempted Securities means:

  • Restricted List Securities means the list of securities that are provided to the Compliance Department by Invesco Ltd. or investment departments, which include those securities that are restricted from purchase or sale by Client or Employee accounts for various reasons (e.g., large concentrated ownership positions that may trigger reporting or other securities regulatory issues, or possession of material, non-public information, or existence of corporate transaction in the issuer involving an Invesco Ltd. unit).

  • Designated Securities means securities issued by an Insured, or by any Affiliated Entity, or by any Fund to which such Insured or any Affiliated Entity provides any services.

  • Permitted Securities means any of the following:

  • Escrowed Securities means the direct, noncallable obligations of the United States of America, as described in the Escrow Agreement.

  • Exempt Securities has the meaning set forth in Section 4.4(d).

  • Traded Securities means any debt or equity securities issued pursuant to a public offering or Rule 144A offering.

  • Approved Securities means securities of any State Government or of the Central Government and such bonds, both the principal whereof and the interest whereon shall have been fully and unconditionally guaranteed by any such Government;

  • Securities as used herein does not include (i) securities of issuers that are affiliated with the Buyer or are part of the Buyer's Family of Investment Companies, (ii) securities issued or guaranteed by the U.S. or any instrumentality thereof, (iii) bank deposit notes and certificates of deposit, (iv) loan participations, (v) repurchase agreements, (vi) securities owned but subject to a repurchase agreement and (vii) currency, interest rate and commodity swaps.

  • Related Securities means any options or warrants or other rights to acquire Shares or any securities exchangeable or exercisable for or convertible into Shares, or to acquire other securities or rights ultimately exchangeable or exercisable for or convertible into Shares.

  • Purchaser Securities means the Purchaser Units, the Purchaser Common Stock, the Purchaser Preferred Stock and the Purchaser Warrants, collectively.

  • U.S. Securities means Securities issued by an issuer that is organized under the laws of the United States or any State thereof or that are otherwise traded in the United States, and shall include American Depositary Receipts.

  • Released Securities means securities that were Restricted Securities with respect to which all applicable restrictions have expired, lapsed, or been waived.

  • Key Holder Registrable Securities means (i) the shares of Common Stock held by the Key Holders, and (ii) any Common Stock issued as (or issuable upon the conversion or exercise of any warrant, right, or other security that is issued as) a dividend or other distribution with respect to, or in exchange for or in replacement of such shares.

  • Additional Purchased Securities Securities provided by Seller to Buyer pursuant to Paragraph 4(a) hereof;

  • CHESS Approved Securities means securities of the Company for which CHESS approval has been given in accordance with the ASX Settlement Operating Rules;

  • Unrestricted Securities means one or more Securities that do not and are not required to bear the Private Placement Legend in the form set forth in Exhibit A hereto, including, without limitation, the Exchange Securities and any Securities registered under the Securities Act pursuant to and in accordance with the Registration Rights Agreement.

  • Registerable Securities means (i) the Common Stock issued or issuable to the Shareholder upon conversion of the Series A Shares issued in accordance with the terms of the Loan Agreement, and (ii) any securities issued or issuable with respect to the Common Stock referred to in clause (i) by way of replacement, share dividend, share split or in connection with a combination of shares, recapitalization, merger, consolidation or other reorganization.

  • Liquid Securities means securities that are publicly traded on the New York Stock Exchange, the American Stock Exchange or the Nasdaq Stock Market and as to which the Company or any Restricted Subsidiary is not subject to any restrictions on sale or transfer (including any volume restrictions under Rule 144 under the Securities Act or any other restrictions imposed by the Securities Act) or as to which a registration statement under the Securities Act covering the resale thereof is in effect for as long as the securities are held; provided that securities meeting the foregoing requirements shall be treated as Liquid Securities from the date of receipt thereof until and only until the earlier of (a) the date on which such securities are sold or exchanged for cash or Cash Equivalents and (b) 180 days following the date of receipt of such securities. If such securities are not sold or exchanged for cash or Cash Equivalents within 180 days of receipt thereof, for purposes of determining whether the transaction pursuant to which the Company or a Restricted Subsidiary received the securities was in compliance with Section 4.11, such securities shall be deemed not to have been Liquid Securities at any time.

  • Equity-linked Securities means any debt or equity securities that are convertible, exercisable or exchangeable for Class A Shares issued in a financing transaction in connection with a Business Combination, including but not limited to a private placement of equity or debt.

  • Purchased Securities has the meaning assigned in the Terms;

  • Publicly Traded Securities means shares of common stock that are listed or quoted on any of The New York Stock Exchange, The NASDAQ Global Select Market or The NASDAQ Global Market (or any of their respective successors) or will be so listed or quoted when issued or exchanged in connection with a Fundamental Change described in clause (b) of the definition thereof.

  • U.S. Securities System means a securities depository or book-entry system authorized by the U.S. Department of the Treasury or a “clearing corporation” as defined in Section 8-102 of the UCC.

  • Specified Securities means ‘equity shares’ and ‘convertible securities’ as defined under clause (zj) of sub-regulation (1) of regulation 2 of the Securities and Exchange Board of India (Issue of Capital and Disclosure Requirements) Regulations, 2009;