Lost Securities. If Your periodic customer statement indicates that securities were forwarded to You and You have not received them, You should notify Your Introducing Financial Organization or Pershing immediately. If notification is received within 120 days after the mailing date, as reflected on Your periodic statement, replacement will be made free of charge. Thereafter, a fee for replacement may apply.
Lost Securities. In the event that certificates for shares of the Trust shall be represented to have been lost, stolen or destroyed (hereinafter called the Old Certificate), the Transfer Agent upon being furnished with an indemnity bond (naming the Trust and the Transfer Agent as obligees therein) in such form and amount and with such surety as shall be satisfactory to it, is authorized to countersign a new certificate or certificates for the number of shares of the Trust represented by the Old Certificate.
Lost Securities. The value of any Property, except books of If the Insured shall sustain a loss of securities accounts or other records used by the Insured in the the total value of which is in excess of the limit stated conduct of its business, for the loss of which a claim in Item 3 of the Declarations of this bond, the liability shall be made hereunder, shall be determined by the of the Underwriter shall be limited to payment for, or average market value of such Property on the duplication of, securities having value equal to the limit business day next preceding the discovery of such stated in Item 3 of the Declarations of this bond. loss; provided, however, that the value of any If the Underwriter shall make payment to the Property replaced by the Insured prior to the payment Insured for any loss of securities, the Insured shall of claim therefor shall be the actual market value at thereupon assign to the Underwriter all of the the time of replacement; and further provided that in Insured's rights, title and interests in and to said case of a loss or misplacement of interim certificates, securities. warrants, rights, or other securities, the production With respect to securities the value of which do which is necessary to the exercise of subscription, not exceed the Deductible Amount (at the time of the conversion, redemption or deposit privileges, the value discovery of the loss) and for which the Underwriter thereof shall be the market value of such privileges may at its sole discretion and option and at the request immediately preceding the expiration thereof if said of the Insured issue a Lost Instrument Bond or Bonds loss or misplacement is not discovered until after their to effect replacement thereof, the Insured will pay the expiration. If no market price is quoted for such usual premium charged therefor and will indemnify Property or for such privileges, the value shall be the Underwriter against all loss or expense that the fixed by agreement between the parties or by Underwriter may sustain because of the issuance of arbitration. such Lost Instrument Bond or Bonds. With respect to securities the value of which In case of any loss or damage to Property exceeds the Deductible Amount (at the time of consisting of books of accounts or other records used discovery of the loss) and for which the Underwriter by the Insured in the conduct of its business, the may issue or arrange for the issuance of a Lost Underwriter shall be liable under this bond only if Instrum...
Lost Securities. If your periodic customer statement indicates that securities were forwarded to you and you have not received them you should notify Royal Alliance immediately. If notification is received within 120 days after the mailing date, as reflected on your periodic statement, replacement will be made free of charge. Thereafter, a fee for replacement may apply.
Lost Securities. In the event that Cryptographic Tokens of the Issuer shall be represented to have been lost or stolen (hereinafter called the Old Tokens), the Transfer Agent upon being furnished with an indemnity bond (naming the Issuer and the Transfer Agent as obligees therein) in such form and amount and with such surety as shall be satisfactory to it, is authorized and directed by the Issuer to issue replacement Cryptographic Tokens for the number of securities of the Issuer represented by the Old Tokens.
Lost Securities. In the event any Company Security has been lost, stolen, mutilated or destroyed, upon the delivery of a duly, completely and validly executed Letter of Transmittal with respect to the shares formerly represented by such Company Security, the making of an affidavit of that fact by the Person claiming such Company Security to be lost, stolen, mutilated or destroyed and, if required by Acquiror, the provision by such Person of a customary indemnity against any claim that may be made against Acquiror with respect to such Company Security, Acquiror shall issue or pay in exchange for such lost, stolen, mutilated or destroyed Company Security the consideration issuable or payable in respect thereof as determined in accordance with this Article III.
Lost Securities. Upon receipt by the Company of evidence satisfactory --------------- to it of the loss, theft, destruction or mutilation of any certificate representing Series Y Preferred Stock or Common Stock issued upon conversion thereof and (in the case of loss, theft or destruction) receipt of satisfactory indemnity or (in the case of mutilation) surrender and cancellation of the mutilated certificate, the Company will make, and deliver, in lieu of such certificate, a new certificate of like tenor.
Lost Securities. In the event any Company Security has been lost, stolen, mutilated or destroyed, upon the delivery of an affidavit of that fact by the Person claiming such Company Security to be lost, stolen or destroyed and, if required by Acquiror, the provision by such Person of a customary indemnity against any claim that may be made against Acquiror with respect to such Company Security, Acquiror shall issue or pay in exchange for such lost, stolen, mutilated or destroyed Company Security the consideration issuable or payable in respect thereof as determined in accordance with this Section 3.04.
Lost Securities. If any certificate evidencing shares of Company Preferred Stock shall have been lost, stolen or destroyed, upon the making of an affidavit of that fact by the person claiming such certificate evidencing shares of Company Preferred Stock to be lost, stolen or destroyed and, if required by the Surviving Corporation, the posting by such person of a bond, in such reasonable amount as the Surviving Corporation may direct, as indemnity against any claim that may be made against it with respect to such certificate evidencing shares of Company Preferred Stock in the form attached hereto as Exhibit D, Parent shall issue in exchange for such lost, stolen or destroyed certificate evidencing shares of Company Preferred Stock, the cash to which such person is entitled pursuant to the provisions of this Article II.
Lost Securities. If your statement indicates that securities were forwarded to you and you have not received them, you should notify AFS or the Clearing Agent immediately. If notification is received within 120 days after the mailing date, as reflected on your statement, replacement will be made free of charge. Thereafter, a fee for replacement may apply. Account Insurance Currently, securities held in custody by the Clearing Agent for your Account are protected up to the total amount in the Account. Of this total, Securities Investor Protection Corporation (“SIPC”) provides $500,000 of coverage, including $100,000 for claims for cash. The remaining coverage on securities only is provided by the Clearing Agent through a commercial insurer. This Account protection applies when an SIPC member firm fails financially and is unable to meet obligations to securities customers, but it does not protect against losses from the rise and fall in market value of investments. You will be notified of any change in this protection in accordance with the provisions of your Customer Agreement. Securities and insurance products offered by AFS LLC are: NOT FDIC INSURED—NO BANK GUARANTEE—MAY LOSE VALUE Customer Complaints If you wish to file a complaint with AFS, please address your correspondence to AFS, Attn: Compliance Department, X.X. Xxx 000000, Xxxxxxxxx, XX 00000-0000 or by telephone at 0-000-000-0000. Business Continuity Plan AFS maintains a business continuity plan for its introducing broker- dealer activities detailing how we will address interruptions to our normal course of business. The unpredictability of events and timing require flexibility of response, and we review our plans regularly and update as necessary. We plan to safeguard our employees and property and to recover and resume customer trading facilitation, account access and service activities, and protect the firm’s books and records. Our plan addresses operational redundancy between our two regional locations; complete customer access to their accounts through our Clearing Agent, Pershing LLC; critical business systems; and alternate communications means with customers, employees, regulators, clearing firm (Pershing LLC), parent company (Alight Solutions LLC), and branch location. Since disruptions can vary in scope and duration, key components of our plan include full redundancy of critical business functions at both of our locations, widely geographically separated, as well as full customer service and trading abil...
