JPTC definition
Examples of JPTC in a sentence
Except as disclosed on the Form BD or Form U4 or U5, none of JPTC, JPTCCM or, to the Knowledge of Sellers, any of their respective directors, managers, officers, employees, registered representatives or associated persons has been permanently enjoined by any order from engaging or continuing any conduct or practice in connection with any activity or in connection with the purchase or sale of any security.
Except as disclosed on the Form BD or Form U4 or U5, none of JPTC, JPTCCM or, to the Knowledge of Sellers, their respective directors, managers, officers, employees or associated persons is or has been ineligible to serve as a Broker-Dealer or an associated person of a Broker Dealer under Section 15(b) of the Exchange Act (including being subject to any “statutory disqualification,” as defined in Section 3(a)(39) of the Exchange Act).
JPTC has not made any withdrawals from any reserve bank account it is required to maintain pursuant to SEC Rule 15c3-3(e), except as permitted by SEC Rule 15c3-3(g).
Sellers shall deliver to Buyer written resignations, effective as of the Closing Date, of the officers and directors of each of JPTC and JPTCCM requested by Buyer at least two Business Days prior to the Closing.
To the extent in conflict with or otherwise inconsistent with the provisions of this Section 5.6 or any other provision of this Agreement, the terms of the Confidentiality Agreement between JPTC and RCS Advisory Services, LLC dated February 20, 2013 (the “Confidentiality Agreement”) are hereby amended and superseded.
JPTC has been and remains in compliance in all material respects with such policies and procedures.
JPTC is in compliance in all material respects with all applicable regulatory requirements for the protection of customer or Client funds and securities.