Speculation. An investment objective of Speculation indicates you seek a significant increase in the principal value of your investments and are willing to accept a corresponding greater degree of risk by investing in securities that have historically demonstrated a high degree of risk of loss of principal value to pursue this objective. Some examples of typical investments might include lower quality, long-term fixed income products, initial public offerings, volatile or low priced common stocks, the purchase or sale of put or call options, spreads, straddles and/or combinations on equities or indexes, and the use of short-term or day trading strategies. Other: Please specify.
Speculation. The Corporation and the CMG agree that Freelancers shall not be required to work on a speculative basis. Nothing in this Article shall prevent the Corporation from discussing with any Freelancer any ideas in order to determine his/her thoughts and reactions and/or to determine his/her suitability for the assignment provided that such assignments shall be subject to the terms of this Agreement.
Speculation. Borrower and Guarantors shall not invest for speculative purposes in any Hedge Transactions or in any other options, futures, or derivatives.
Speculation. A speculative objective assumes a higher risk of loss in anticipation of potentially higher-than-average gains by taking advantage of expected price changes. You recognize and are able to bear the full risk of the loss of some or all principal in such investments.
Speculation. An investment objective of Speculation indicates that I seek a significant increase in the principal value of my investments and I am willing to accept a corresponding greater degree of risk by investing in securities that have historically demonstrated a high degree of risk of loss of principal value to pursue this objective. Some examples of typical investments might include lower quality, long-term fixed income products, initial public offerings, volatile or low-priced common stocks, the purchase or sale of put or call options, spreads, straddles and/or combinations on equities or indexes,* and the use of short-term or day trading strategies. Trading Profits. An investment objective of Trading Profits indicates that I seek to take advantage of short-term trading opportunities, which may involve establishing and liquidating positions quickly. Some examples of typical investments might include short-term purchases and sales of volatile or low-priced common stocks, put or call options, spreads, straddles and/or combinations on equities or indexes*. This is a high-risk strategy. Growth and Income. An investment objective of Growth and Income indicates that I seek a mix of growing principal value and generating income from investments and I am willing to invest in securities with moderate historical risk of loss of principal while having the potential to pay income. Some examples of typical investments might include common stocks, medium-term fixed-income investments and growth and income mutual funds. *Retirement accounts may not be approved for margin trading privileges. Margin is required to sell covered puts and uncovered puts and call options, spreads, and to write straddles and combinations on equities or indexes.
Speculation. An investment objective of Speculation indicates you seek a significant increase in the principal value of your investments and are willing to accept a corresponding greater degree of risk by investing in securities that have historically demonstrated a high degree of risk of loss of principal value to pursue this objective. Some examples of typical investments might include lower quality, long-term fixed income products, initial public offerings, volatile or low priced common stocks, the purchase of sale of put or call options, spreads, straddles and/or combinations on equities or indexes, and the use of short- term or day trading strategies. Other: Please specify. Memorandum Wire Transfer Authorization TO: Txxxxxx X. Xxxxxxxx Aegis Capital Corp. RE: Client Wire Transfer Authorization CXXXXX PHARMACEUTICALS HOLDINGS, INC. DATE: ____________________________________________________________________________ This memorandum authorizes the transfer of the following listed funds from my Aegis Capital Brokerage Account as follows: Aegis Capital Brokerage Account # Wire Amount $_____________________ Bank: Signature Bank Acct. Name: Signature Bank as Escrow Agent for Cxxxxx Pharmaceuticals Holdings, Inc. 200 Xxxxxxx Xxxxxx Xxx Xxxx, Xxx Xxxx 00000 ABA Number: 000000000 A/C Number: 1502241229 REFERENCE: PURCHASER LEGAL NAME TAX ID NUMBER PURCHASER ADDRESS FBO: Investment Title: Signature: Signature: (Joint Signature)
Speculation. You are willing to accept maximum risk and understand you could lose all of your investment. You may be a speculative investor if the following criteria apply: • You are trying to achieve maximum capital appreciation. • You have a history of equity investing. • You are not investing for the long term. • You are willing to accept complete loss of your principal. BROKERAGE ACCOUNT(S) WITH PERSHING LLC The following applies to you when establishing or have established a brokerage account through MOIS as introducing broker-dealer at Pershing LLC (“Pershing”), which is a New York Stock Exchange member firm. Pershing has been engaged by MOIS as the clearing firm to provide account custody and clearing services. To the extent that you have a brokerage account established through MOIS at Pershing, You, MOIS and Pershing are collectively the “Parties” to this Agreement, and the term “Qualified Custodian” as used in the General Terms & Conditions section will refer to Pershing. You understand and agree to the following terms of this Section - Brokerage Account(s) with Pershing to the Account: • Relationship with Pershing. Pershing and MOIS are separate legal entities that have entered into a fully disclosed clearing agreement for Pershing to provide clearing and financial custody services. In the event you are now or will be in the future entering into a fully-disclosed account with Pershing, you agree to be bound by the Clearing Terms and Conditions contained in this Agreement, as well as the other terms and conditions of this Agreement. You acknowledge and agree that if you establish an account with Pershing that you have read and understand the respective duties and responsibilities of MOIS and Pershing as set forth in the Pershing Disclosure Statement, including but not limited to: • Pershing is responsible for the execution, clearing and recording of transactions conducted through Pershing. • Pershing is responsible for preparing confirmations and statements reflecting any transactions or other financial activities in your Pershing accounts. • Pershing is responsible for extending credit (margin), receiving, delivering, holding and disbursing monies or securities, including paying or collecting dividends, interest and processing other corporate actions (i.e., redemptions, tender offers, share splits).
Speculation. These types of investments are the most risky in nature and generally provide the largest potential for price appreciation and depreciation with the highest likelihood of volatility. Securities in this category include stocks issued by companies with a brief corporate history, new or untested management, and products merely in the development stage. Also included in this category are OTC stocks, IPOs, emerging growth mutual funds, alternate investments and high-yield bond mutual funds. Tax-advantage. These types of investments/investment plans refer to tax benefits to the investor such as tax deferral, the ability to get a tax-deduction or in some cases, tax-free interest. Investors should note that certain securities, such as municipal bonds are often marketed as tax-free or tax-exempt. However, each municipal bond is unique and may in some cases be subject to state and local taxes, alternative minimum tax as well as capital gains tax. Royal Alliance does not provide tax advice. Investors should seek a qualified tax professional when making investment decisions. All investments involve risk, including the potential loss of principal invested. Please contact your investment processional if you have any questions concerning this document. Securities: • Are not FDIC or NCUA insured; • May Lose Value; • Are not obligations of a Bank, nor do Banks guarantee them.
Speculation seek a significant increase in principal • willing to accept a correspondingly greater degree of risk by investing in securities with high historical risk of loss of principal Typical Investments • lower quality long-term fixed income investments • initial public offerings (IPOs) • volatile or low-priced common stocks • equity or index options strategies such as puts or calls, spreads, straddles, and combinations • short-term or day-trading strategies Trading Profits • seek to take advantage of short-term trading opportunities (a high-risk strategy) Typical Investments • short-term purchases and sales of volatile or low-priced common stocks • equity or index options strategies such as puts or calls, spreads, straddles, and combinations POLICIES ON TRANSACTIONS Credits to Your Account Any new deposits (including checks) and any proceeds from transactions are credited promptly to your account. Upon receipt of the deposit we will immediately forward the funds to the holding company. Debits to Your Account All debits are accumulated daily to your account and are paid to the extent that sufficient funds are available. As an account owner you are responsible for satisfying all debits on your account, including any debt still owed after all assets have been removed from an account, any interest that has accrued on that debt, any late charges arising from your failure to pay for securities transactions in full by the settlement date, and any costs (such as legal fees) that we incur in collecting the debt, When multiple debit items become payable at the same time, these items will be paid in the following order: • securities transactions (including any margin calls) and any account fees • debit card transactions • checks written against your account When settling debits against your account, it is our policy to turn to the following sources (collectively called your “available balance”), in this order: • any cash available in your account without incurring margin interest charges (including both core and income account balances) • if you have a margin account, any margin credit available • any shares in another money market fund, including any in another non- retirement account with the same registration (which you authorize us to sell for this purpose when you sign the application) • any securities in this or any other account furnished by us in which you have an interest
Speculation. You are willing to accept maximum risk and understand you could lose all of your investment. You may be a speculative investor if the following criteria apply: • You are trying to achieve maximum capital appreciation. • You have a history of equity investing. • You are not investing for the long term. • You are willing to accept complete loss of your principal. For Third-Party Money Manager services and Managed Account Services, the applicable Third-Party Manager and Platform Manager may have separate or different risk tolerances which do not correspond with the risk tolerances established by MOIS. For Third-Party Money Manager and Managed Account Services, MOIS may rely upon the applicable Third-Party Money Manager or Platform Manager’s risk tolerance for purposes of such services.
