Discretionary Accounts. In the case of a Registered Offering of Securities issued by an Issuer that was not, immediately prior to the filing of the Registration Statement, subject to the requirements of Section 13(d) or 15(d) of the 1934 Act, you will not make sales to any account over which you exercise discretionary authority in connection with such sale, except as otherwise permitted by the applicable AAU for such Offering.
Discretionary Accounts. Broker shall be solely responsible for obtaining customer approval for and supervising discretionary accounts.
Discretionary Accounts. The client acknowledges that neither the company nor its staff trade on a discretionary basis. If a staff member of the company approaches the client to trade the client account on a discretionary basis the clients must reject such an offer and inform the company immediately.
Discretionary Accounts. It will not confirm sales of any Notes to accounts over which it exercises discretionary authority.
Discretionary Accounts. If the Subscriber desires to make payment for the Units subscribed for pursuant to this Subscription Agreement for an account over which a securities broker-dealer or securities registered representative holds discretionary authority, the Subscriber hereby consents to the purchase.
Discretionary Accounts. The following terms and conditions shall apply to Discretionary Accounts only.
Discretionary Accounts. Introducing Firm shall be solely responsible for obtaining customer approval for and supervising discretionary accounts.
Discretionary Accounts. Correspondent shall be solely and exclusively responsible for the handling and supervisory review of any Customer Accounts over which Correspondent’s partners, officers or employees have discretionary authority, as required by NYSE Rule 408, and any other provisions of the Applicable Laws and Rules. Correspondent shall furnish Ridge with such documentation with respect thereto as may be requested by Ridge. Correspondent hereby warrants that with regard to any orders or instructions given by Correspondent with respect to such discretionary Customer Accounts, its partners, officers or employees shall have been fully and properly authorized relative thereto and that the execution of such orders shall not be in violation of the Applicable Laws and Rules.
Discretionary Accounts. The Client acknowledges that neither Ventura Prime FX nor its staff trade on a discretionary basis. If a staff member of Ventura Prime FX approaches the client to trade on a discretionary basis the client is to reject such an offer and immediately notify Ventura Prime FX of this approach.
Discretionary Accounts. Transactions effected in any Covered Account over which the employee has no direct or indirect influence or control (a "Discretionary Account"). An employee shall be deemed to have "no direct or indirect influence or control" over an account only if all of the following conditions are met:
