Examples of Personal Securities Account in a sentence
No Security on the LAM Restricted List may be purchased or sold in any Personal Securities Account.
No transaction for a Personal Securities Account may be made in securities offered pursuant to an initial public offering.
No transaction for a Personal Securities Account may be made in Securities sold in an initial public offering or secondary offering.
You must agree to allow your broker-dealer to provide the Compliance Officer with electronic reports of your Personal Securities Accounts and transactions and to allow the Compliance department to access all Personal Securities Account information.
If you maintain (i) Personal Securities Accounts with broker-dealers that are not on the list of Approved Brokers, or (ii) a Beneficial Interest in Financial Instruments not held in a Personal Securities Account, please contact the Compliance Officer to arrange for providing quarterly and annual reports within 30 days following quarter end.