Disciplinary Action, Suspension, or Restriction. If Broker or any of its affiliates, or any officer, director, or general securities principal or financial and operational principal of Broker, becomes subject to disciplinary action, suspension, or restriction by a federal or state agency, stock exchange, or regulatory or self-regulatory organization having jurisdiction over Broker or Broker's securities or commodities business, Broker shall give notice to Pershing immediately, orally and in writing, and provide Pershing a copy of any decision relating to such action, suspension, or restriction. Pershing may take any action it reasonably deems to be necessary (i) to assure that it will continue to comply with all applicable legal, regulatory, and self-regulatory requirements, notwithstanding such action, suspension, or restriction; and (ii) to comply with any requests, directives, or demands made upon Pershing by any such federal or state agency, stock exchange, or regulatory or self-regulatory organization.
Disciplinary Action, Suspension, or Restriction. If Introducing Firm or any of its affiliates, or any officer, director, or general securities principal or financial and operations principal of Introducing Firm, becomes subject to suspension, restriction or disciplinary action by a federal or state agency, stock exchange, or regulatory or self-regulatory organization having jurisdiction over Introducing Firm or Introducing Firm’s securities or commodities business, Introducing Firm shall give notice to Clearing Agent promptly, orally and in writing, and provide Clearing Agent a copy of any decision relating to such suspension, restriction or disciplinary action. Clearing Agent may take any action it reasonably deems to be necessary (i) to assure that it will continue to comply with all applicable legal, regulatory, and self-regulatory requirements, notwithstanding such, suspension, restriction or disciplinary action; and (ii) to comply with any requests, directives, or demands made upon Clearing Agent by any such federal or state agency, stock exchange, or regulatory or self-regulatory organization. Notwithstanding the foregoing, Introducing Firm need not notify Clearing Agent of “minor rule violations” (as that term is defined in connection with Form U-5) of individuals, with the exception of directors, general securities principals, financial principals, operations principals and individuals listed on Schedule A of Introducing Firm’s Form BD.
Disciplinary Action, Suspension, or Restriction. If Broker or any of the Broker Executives becomes subject to disciplinary action, suspension, or restriction by a federal or state agency, stock exchange, or regulatory or self-regulatory organization having jurisdiction over Broker or Broker’s securities or commodities business, Broker shall give notice to Pershing promptly in writing, and provide Pershing a copy of any decision relating to such action, suspension, or restriction, unless such notice is prohibited by law. Pershing may take any action it reasonably deems to be necessary (i) to assure that it will continue to comply with all applicable legal, regulatory, and self-regulatory requirements, notwithstanding such action, suspension, or restriction; and (ii) to comply with any requests, directives, or demands made upon Pershing by any such federal or state agency, stock exchange, or regulatory or self-regulatory organization. Notwithstanding the foregoing, Broker need not notify Pershing of “minor rule violations” (as that term is defined in connection with Form U-5) of Broker or Broker Executives.
Disciplinary Action, Suspension, or Restriction. If Broker becomes subject to disciplinary action, suspension, or restriction by a federal or state agency, stock exchange, or regulatory or self-regulatory organization having jurisdiction over Broker or Broker's securities or commodities business, Broker shall notify Pershing immediately, orally and in writing, and provide Pershing a copy of any decision relating to such action, suspension, or restriction. Broker shall reimburse Pershing for the fees and expenses associated with any legal advice Pershing may seek with respect to the effect of such action, suspension, or restriction on the rights and obligations of Pershing under this Agreement.. Pershing may take any action it reasonably deems to be necessary (i) to assure that it will continue to comply with all applicable legal, regulatory, and self-regulatory requirements, notwithstanding such action, suspension, or restriction, and (ii) to comply with any requests, directives, or demands made upon Pershing by any such federal or state agency, stock exchange, or regulatory or self-regulatory organization.
Disciplinary Action, Suspension, or Restriction. Introducing Broker shall immediately notify Interactive if Introducing Broker becomes subject to any disciplinary action, suspension or restriction imposed by any agency, regulatory or self-regulatory organization, or exchange that would materially and adversely affect Introducing Broker’s ability to fulfill its obligations hereunder, and shall promptly provide to interactive a copy of any decision relating to such disciplinary action, suspension, or restriction. Introducing Broker also shall immediately notify Interactive of any other restriction on its activities with respect to the Consolidated Account, Introducing Broker Customer Accounts, or Introducing Broker’s Customers. In either of these events, Interactive may take any action it deems to be necessary: (1) to assure itself that Introducing Broker will continue to comply with the Laws and Regulations notwithstanding such action, suspension or restriction, and (2) to comply with any requests, directives, or demands made upon Interactive by any agency, regulatory or self-regulatory organization, or exchange.
Disciplinary Action, Suspension, or Restriction. If either party or any of such party’s affiliates, or any officer, director or principal of such party or its affiliates, becomes subject to investigation, disciplinary action, suspension, or restriction by a governmental agency, exchange, or regulatory or self-regulatory organization having jurisdiction over such person or entity or its business, that could reasonably be expected to affect the transactions contemplated by this Agreement, such party shall notify the other promptly, orally and in writing, and provide the other with a copy of any document requests, subpoenas and decisions relating to such action, suspension or restriction. The other party may take any action it reasonably deems to be necessary: (i) to assure that such party will continue to comply with all applicable legal, regulatory, and self-regulatory requirements, notwithstanding such action, suspension, or restriction; and (ii) to comply with any requests, directives, or demands made upon the other party by any such governmental agency, exchange, or regulatory or self-regulatory organization. 9.2 Privacy of Customer Financial Information. GAIN agrees that it shall not take any action inconsistent with Broker’s published policies relating to the privacy of Customer identity, contact and financial information. In no event, except as specifically required by Rules, shall GAIN disclose to anyone any facts, metrics or statistics relating to Customers’ trading activity or accounts, whether individually or as a group.
Disciplinary Action, Suspension, or Restriction. If Broker or any of its affiliates, or any officer, director, or general securities principal or financial and operational principal of Broker, becomes subject to disciplinary action, suspension, or restriction by a federal or state agency, stock exchange, or regulatory or self-regulatory organization having jurisdiction over Broker or Broker's securities or commodities business, Broker shall give notice to Pershing immediately, orally and in writing, and provide Pershing a copy of any decision relating to such action, suspension, or restriction. Pershing may take any action reasonably necessary (i) to assure that it will continue to comply with all applicable legal, regulatory, and self-regulatory requirements, notwithstanding such action, suspension, or restriction; and (ii) to comply with any requests, directives, or demands made upon Pershing by any such federal or state agency, stock exchange, or regulatory or self-regulatory organization.
Disciplinary Action, Suspension, or Restriction. If Broker or any of its affiliates, or any officer, director, or any individual listed on the Broker’s Form BD or financial and operational principal or any individual functioning in a management capacity of Broker, becomes subject to disciplinary action, suspension, or restriction by a federal or state agency, stock exchange, or regulatory or self-regulatory organization having jurisdiction over Broker or Broker’s securities or commodities business, Broker shall give notice to First Clearing immediately, orally and in writing, and provide First Clearing a copy of any decision relating to such action, suspension, or restriction. First Clearing may take any action it reasonably deems to be necessary (i) to assure that it will continue to comply with all applicable legal, regulatory, and self-regulatory requirements, notwithstanding such action, suspension, or restriction; and (ii) to comply with any requests, directives, or demands made upon First Clearing by any such federal or state agency, stock exchange, or regulatory or self-regulatory organization.
Disciplinary Action, Suspension, or Restriction. In order for Northwestern to take such actions as it reasonably deems necessary to ensure compliance with all applicable law, regulations and rules, NMIS shall give prompt notice to Northwestern of any conduct by NMIS, or any of its directors, officers, or employees, or individuals who are either employed by Service Bureaus or as Independent Contractors retained by NMIS who are determined by Northwestern to be its associated persons, which conduct NMIS has reason to believe is in violation of such law, regulations and rules or could materially interfere with or prevent NMIS from providing services contemplated by this Agreement (“disabling conduct”) or which may be reportable by Northwestern to governmental agencies or regulatory or self-regulatory organizations having jurisdiction over Northwestern (“reportable conduct”) including, without limitation:
Disciplinary Action, Suspension, or Restriction. The Introducing Broker shall immediately notify IBIE if the Introducing Broker becomes subject to any disciplinary action, suspension or restriction imposed by any agency, regulatory or self-regulatory authority, organisation or body, or exchange that would affect the Introducing Broker’s ability to fulfil its obligations hereunder, and shall promptly provide to IBIE a copy of any decision (whether preliminary or final) relating to such disciplinary action, suspension, or restriction. The Introducing Broker also shall immediately notify IBIE of any other restriction on its activities with respect to the Fully Disclosed Accounts or Clients. In either of these events, IBIE may take any action it deems to be necessary: (a) to assure itself that the Introducing Broker will continue to comply with Applicable Laws notwithstanding such action, suspension or restriction, and (b) to comply with any requests, directives, or demands made upon IBIE or its affiliate by any agency, regulatory or self-regulatory authority, organisation or body, or exchange.
