Common use of Capacity to Contract, Customer Affiliation Clause in Contracts

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.

Appears in 2 contracts

Samples: www.aufsec.com, www.aufsec.com

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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 AuthorityNational Association of Securities Dealers, Inc. or a member thereof, an employee of any corporation, firm 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 company, or insurance company.

Appears in 1 contract

Samples: Agreement for Prime Brokerage Clearance Services

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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 AuthorityNational 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.

Appears in 1 contract

Samples: Agreement for Prime Brokerage Clearance Services

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