Capacity to Contract, Customer Affiliation. You represent being of legal age, and not an employee of any exchange, member firm of an exchange or FINRA, bank, insurance company, or trust company, and that HTS will be promptly notified upon such association. You also represent that no one has an interest in this account or your other accounts with HTS, other than those signing the appropriate account documents.
Capacity to Contract, Customer Affiliation. You represent that you are of legal age and that, unless you have notified Bear Xxxxxxx to the contrary, neither you nor any member of your immediate family is an employee of any exchange or member thereof, the National Association of Securities Dealers, Inc. or a member thereof, or of any corporation, firm or individual engaged in the business of dealing, as broker or principal, in securities, options or futures, or of any bank, trust company or insurance company.
Capacity to Contract, Customer Affiliation. You represent that you are of legal age and that, unless you have notified the Executing Broker to the contrary, neither you nor any member of your immediate family is an employee of any exchange or member thereof, an employee of the Financial Industry Regulatory Authority, or a member thereof, an employee of any corporation, firm or individual engaged in the business of dealing, as broker or principal, in securities, options or futures, or an employee of any bank, trust company or insurance company.
Capacity to Contract, Customer Affiliation. The Customer represents being of legal age, and not an employee of any exchange, member firm of an exchange or FINRA, bank, insurance company, or trust company, and that SWST will be promptly notified upon such association. The Customer also represents that no one has an interest in this account or other accounts of the Customer with SWST, other than those signing the appropriate account documents.
Capacity to Contract, Customer Affiliation. You represent that you are of legal age and that, unless you have notified PaineWebber to the contrary, neither you nor any member of your immediate family is an employee of any exchange or member thereof, an employee of the National Association of Securities Dealers, Inc. or a member thereof, an employee of any corporation, firm or individual engaged in the business of dealing, as broker or principal, in securities, options or futures, or an employee of any bank, trust company or insurance company.
Capacity to Contract, Customer Affiliation. [applicable only if Customer is a natural person] Customer represent that Customer are of legal age and that, unless Customer have notified the Clearing Broker to the contrary, neither Customer nor any member of Customer immediate family is an employee of any exchange or member thereof, an employee of the National Association of Securities Dealer, Inc. or a member thereof, an employee or any corporation, firm or individual engaged in the business of dealing, as broker or principal, in securities, options or futures, or an employee of any bank, trust company or insurance company.
Capacity to Contract, Customer Affiliation. [applicable only if you are a natural person] You represent that you are of legal age and that, unless you have notified Axos Clearing to the contrary, neither you nor any member of your immediate family is an employee of any exchange or member thereof, an employee of the National Association of Securities Dealers, Inc. or a member thereof, an employee of any corporation, firm or individual engaged in the business of dealing, as broker or principal, in securities, options or futures, or an employee of any bank, trust company or insurance company.
Capacity to Contract, Customer Affiliation. You represent that you are of legal age and that, unless you have notified UBS PaineWebber to the contrary, neither you nor any member of your immediate family is an employee of any exchange or member thereof, an employee of the National Association of Securities Dealers, Inc. or a member thereof, an employee of any corporation, firm or individual engaged in the business of dealing, as broker or principal, in securities, options or futures, or an employee of any bank, trust company or insurance company. EXTRAORDINARY EVENTS UBS PaineWebber shall not be liable for losses caused directly or indirectly by government restrictions, exchange or market rulings, suspension of trading, war, strikes or other conditions beyond its control.
Capacity to Contract, Customer Affiliation. You represent that you are of legal age. If you are an employee of any exchange, or of any corporation in which any exchange owns a majority of the capital stock, or of a member of any exchange, or of a member firm or member corporation registered on any exchange, or of a bank, trust company, insurance company, or of any corporation, firm or individual engaged in the business of dealing, either as broker or principal, in securities, bills of exchange, acceptances or other forms of commercial paper, you hereby certify that you have disclosed your affiliation to CFS and have obtained approval from your compliance officer prior to opening your Account. You also agree to promptly notify CFS in writing if you become so employed. 43.
Capacity to Contract, Customer Affiliation. Based on documentation provided to the Bank the Client is of legal age and represents that he is not an employee of any exchange or of a Member Firm of any exchange or the NASD, or of a bank, trust company, or insurance company and will promptly notify the Bank if it becomes so employed.
