Broker Transactions definition

Broker Transactions. Broker's transactions" within the meaning of paragraph (g) of Rule 144 of the General Rules and Regulations under the Securities Act.
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Examples of Broker Transactions in a sentence

  • Broker understands that SLK in its sole discretion may refuse to accept Prime Broker Transactions on Broker's client's behalf or restrict or prohibit trading of securities in Brokers client's account or refuse to clear Broker's clients transactions.

  • Broker understands that SLK in its sole discretion may refuse to accept Prime Broker Transactions on Broker's client's behalf or restrict or prohibit trading of securities in Brokers client's account or refuse to clear Broker's client's transactions.

  • Broker understands that SLK in its sole discretion may refuse to accept Prime Broker Transactions on Broker's customer's behalf or restrict or prohibit trading of securities in Broker's customer's account or refuse to clear Broker's customer's transactions.

  • Customer hereby acknowledges that it has read and fully understands the terms of the No-Action Letter and that it undertakes to carry out Prime Broker Transactions in accordance with the terms of the No- Action Letter and to inform LSC promptly if this undertaking is not met.

  • You are responsible for providing us all applicable tax forms, including IRS Form 1099-B, Proceeds From Broker and Barter Exchange Transactions; Form 1099-DA, Digital Asset Proceeds From Broker Transactions; Form 1099-MISC, Miscellaneous Information; and Form 1099-NEC, Nonemployee Compensation,.

  • Broker understands that SLK in its sole discretion may refuse to accept Prime Broker Transactions on Broker’s client’s behalf or restrict or prohibit trading of securities in Broker’s client’s account or refuse to clear Broker’s client’s transactions, in each case, after endeavoring to provide prompt notice to Broker.

  • ACCOUNT You understand that SLK in its sole discretion may refuse to accept Prime Broker Transactions on your client's behalf or restrict or prohibit trading of securities in your client's account or refuse to clear your client's transactions.