Conduct Rules. Counterparty acknowledges and agrees to be bound by the Conduct Rules of the Financial Industry Regulatory Authority, Inc. applicable to transactions in options, and further agrees not to violate the position and exercise limits set forth therein.
Appears in 3 contracts
Sources: Base Capped Call Option Transaction (Cowen Group, Inc.), Confirmation of Call Option Transaction (Cowen Group, Inc.), Call Option Transaction (Cowen Group, Inc.)