Listed Securities definition
Examples of Listed Securities in a sentence
The Client agrees that the Client is solely responsible for compliance with all notifications (including tax notifications), filings, returns, reports and other relevant regulations in connection with its interests in US Listed Securities as prescribed by the rules governing US Listed Securities and the Applicable Regulations from time to time, and for the monitoring of its interest holding positions in US Listed Securities in order to comply with any such regulations.
The Client further acknowledges that apart from the US Listed Securities, the Client may not be able to trade other securities listed on the US security exchange markets, or subscribe for shares or other types of securities from initial public offerings on the US security exchange markets.
The Client undertakes to provide WLSL timely and accurate information relating to any restrictions on the sale or transfer of any US Listed Securities held in the Account.
The Client acknowledges that since WLSL engages the Third-party Broker as the clearing broker for trade order execution, clearing, settlement and custody of US Listed Securities, WLSL will not be held liable to the Client for any legal liabilities in relation to such services or any default caused directly or indirectly by the Third-party Broker.
The Bonds and Additional Bonds may be issued as Standard Bonds, Capital Appreciation Bonds, Listed Securities, Auction Rate Securities, Index Bonds, Convertible Capital Appreciation Index Bonds, Convertible Capital Appreciation Bonds and Bonds with other Modes as set forth in a Supplemental Trust Agreement; this Bond is a Standard Bond.