Examples of Trading Access in a sentence
A suspended or terminated Participant, Authorized Trader or Supervised Person remains subject to the BSEF Rules and the jurisdiction of BSEF for acts and omissions prior to the suspension or termination, and must cooperate in any inquiry, investigation, disciplinary or appeals proceeding, summary suspension or other summary action as if the suspended or terminated Participant still had Trading Privileges or the terminated Authorized Trader still had Trading Access.
When the Trading Privileges of a Participant or the Trading Access of any Authorized Trader are terminated, all of a Participant’s rights and Trading Privileges or an Authorized Trader’s right to Trading Access will terminate, except for the right of the Participant in question to assert claims against others, as provided in the BSEF Rules.
Further Restrictions on Trading Activity: Excessive Trading: Access Persons are strongly discouraged from engaging in excessive trading for their personal accounts.
BSEF may deny or limit Trading Privileges of a Participant or Trading Access of any Authorized Trader upon default of the Participant, Customer or Account, as applicable, on any Swap with respect to such Participant, Customer or Account.
Participant may appeal any decision taken by BSEF under this Rule 305 as provided in Rule 620; provided, however, that any such decision by BSEF to deny or otherwise limit applicant’s Trading Privileges or Trading Access shall continue in effect during such review.
In accordance with Heartland’s Policy Against Insider Trading, Access Persons are generally prohibited from purchasing or selling any security while in the possession of material nonpublic information about the issuer of the security, and from communicating to third parties any such material nonpublic information.
A Sponsoring Broker shall suspend or terminate the Trading Access of a DMA Customer or any Authorized Trader associated with such DMA Customer if BSEF determines that the actions of the DMA Customer or any of its Authorized Traders threaten the integrity of the SEF operated by BSEF or liquidity of any Swap or violate any BSEF Rule or if the DMA Customer or any of its Authorized Traders fails to cooperate in an investigation.
Excessive Trading Access Persons are strongly discouraged from trading excessively.
Market Manipulation and Insider Trading Access Persons are prohibited from making any statements or taking any action intended to manipulate the price of a security or the market for a security.
After the Exchange has received a Termination Request, the Exchange shall either promptly suspend the Trading Access or promptly terminate the Sponsored Designation of the relevant Sponsored Access Customer(s), as set forth in the relevant Termination Request.