Restricted and Control Stock Requirements. Broker shall be responsible for determining whether any securities held in Broker’s or its customer accounts are restricted or control securities as defined by applicable laws, rules, or regulations. Broker is responsible for assuring that orders and other transactions executed for such securities comply with such laws, rules, and regulations.
Appears in 8 contracts
Samples: www.sec.gov, www.sec.gov, Disclosed Clearing Agreement (Gleacher & Company, Inc.)
Restricted and Control Stock Requirements. Broker shall be responsible for determining whether any securities held in Broker’s 's or its customer accounts are restricted or control securities as defined by applicable laws, rules, or regulations. Broker is responsible for assuring that orders and other transactions executed for such securities comply with such laws, rules, and regulations.
Appears in 3 contracts
Samples: Fully Disclosed Clearing Agreement (Southern Trust Securities Holding Corp), Agreement (Kbw, Inc.), Clearing Agreement (American Portfolios Holdings Inc)
Restricted and Control Stock Requirements. Broker shall be responsible for determining whether any securities held in Broker’s 's or its customer accounts are restricted or control securities as defined by applicable laws, rules, or regulations. Broker is responsible for assuring that orders and other transactions executed for such securities comply with such laws, rules, and regulations.
Appears in 3 contracts
Samples: Disclosed Clearing Agreement (Chapman Holdings Inc), Clearing Agreement (Echapman Com Inc), Pinnacle Global Group Inc
Restricted and Control Stock Requirements. Broker shall be responsible ----------------------------------------- for determining whether any securities held in Broker’s 's or its customer accounts are restricted or control securities as defined by applicable laws, rules, or regulations. Broker is responsible for assuring that orders and other transactions executed for such securities comply with such laws, rules, and regulations.
Appears in 1 contract
Samples: Disclosed Clearing Agreement (Ziegler Companies Inc)
Restricted and Control Stock Requirements. Broker shall be solely responsible for determining whether any securities held in Broker’s or its customer accounts any Account are restricted or control securities as defined by applicable laws, rules, or regulationsApplicable Regulations. Broker is solely responsible for assuring that orders and other transactions executed for such securities comply with such laws, rules, and regulationsall Applicable Regulations.
Appears in 1 contract
Restricted and Control Stock Requirements. Broker shall be responsible for determining whether any securities held in Broker’s 's or its customer accounts are restricted or control securities as defined by applicable laws, rules, or regulations, except where Pershing receives the securities which are marked as restricted and should be reasonably able to determine that they are restricted shares from such markings, in which case this responsibility shall be with Pershing. Broker is responsible for assuring that orders and other transactions executed for such securities comply with such laws, rules, and regulations, except as specified in the preceding sentence.
Appears in 1 contract
Samples: Disclosed Clearing Agreement (Siebert Financial Corp)
Restricted and Control Stock Requirements. Broker shall be responsible for determining whether any securities held in Broker’s or its customer accounts Customers’ Accounts are restricted or control securities as defined by applicable laws, rules, or regulationsApplicable Regulations. Broker is responsible for assuring that orders and other transactions executed for such securities comply with such laws, rules, and regulationsApplicable Regulations.
Appears in 1 contract
Samples: Fully Disclosed Clearing Agreement (Sidoti & Company, Inc.)
Restricted and Control Stock Requirements. Broker shall be responsible for determining whether any securities held in Broker’s or its customer accounts any Account are restricted or control securities as defined by applicable laws, rules, or regulationsApplicable Regulations. Broker is responsible for assuring that orders and other transactions executed for such securities comply with such laws, rules, and regulationsall Applicable Regulations.
Appears in 1 contract
Samples: Fully Disclosed Clearing Agreement (Sidoti & Company, Inc.)
Restricted and Control Stock Requirements. Broker shall be responsible for determining whether any securities held in Broker’s 's or its customer accounts are restricted or control securities as defined by applicable laws, rules, or regulations. Broker is responsible for assuring asxxxxxx that orders and other transactions executed for such securities comply with such laws, rules, and regulations.
Appears in 1 contract
Samples: Clearing Agreement (American Portfolios Holdings Inc)
