Personal Securities Transaction definition

Personal Securities Transaction means any transaction in a Covered Security in which an Access Person has a direct or indirect Pecuniary Interest.

AI-Powered Contracts

Draft, Review & Redline at the Speed of AI

Personal Securities Transaction means a transaction in a Security in which an individual has or thereby acquires Beneficial Ownership. A person shall be considered to be “engaging in” or “effecting” a Personal Securities Transaction if such a Security is involved, regardless of whether the transaction is effected by that person or by some other person (such as an immediate family member). However, a person shall not be considered to be “engaging in” or “effecting” a Personal Securities Transaction if such transaction is executed through a pre-established automatic investment plan or dividend reinvestment plan.

Personal Securities Transaction means a Reportable Transaction in which an Access Person has Beneficial Ownership in the security.

Examples of Personal Securities Transaction in a sentence

If pre-clearance is granted, the Access Person must disclose the Personal Securities Transaction when he or she participates in any subsequent investment decision for a client regarding the same issuer.
A Personal Securities Transaction is a transaction in a security, other than an exempted security (as defined below), in which a person subject to this Code has a beneficial interest.
No Access Person shall engage in a Personal Securities Transaction in a security which the person knows or has reason to believe (i) is being purchased or sold (i.e., a pending “buy” or “sell” order), (ii) has been purchased or sold for a client within the last seven (7) calendar days, or (iii) is being considered for purchase or sale by a client, until that client’s transactions have been completed or consideration of such transactions has been abandoned.
The Company has established Personal Securities Transaction procedures as defined in this Code, to define the responsibilities of Personnel to provide the required Initial, Quarterly and Annual Holdings Reports; provide statements and confirmations of trading.
Please refer to APPENDIX II for additional examples of beneficial ownership BLUEFORM Monthly Personal Securities Transaction & Gift Report CLOSED-END INVESTMENT Funds whose shares traded on the secondary COMPANIES market with most being listed on stock exchanges.

More Definitions of Personal Securities Transaction

Personal Securities Transaction means the acquisition or disposition of Beneficial Ownership of a Reportable Security or Reportable Fund.

Personal Securities Transaction means a transaction in a security in which a person has or thereby acquires Beneficial Ownership. A person is considered to be “engaging in” or “effecting” a Personal Securities Transaction if the person, directly or indirectly, directs, participates in or receives advance notification or advice regarding such transaction.

Personal Securities Transaction means a transaction in a Security which (i) an Access Person effects for his or her own account or for an account over which he or she has Beneficial Ownership, or (ii) that a person who is not an Access Person effects if an Access Person is a Beneficial Owner of such Security (for example, transactions made by an Access Person’s spouse).

Personal Securities Transaction means the acquisition or disposition of Beneficial Ownership of a Reportable Security.

Personal Securities Transaction means the execution, either directly or indirectly, of any "purchase or sale of a security."

Personal Securities Transaction means a transaction in a Security in which a person has or thereby acquires Beneficial Ownership. A person shall be considered to be "engaging in" or "effecting" a Personal Securities Transaction if the person, directly or indirectly, directs, participates in or receives advance notification or advice of or regarding such transaction. A person shall not be considered to be "engaging in" or "effecting" a Personal Securities Transaction if such transaction is effected on the person's behalf by an independent fiduciary or broker with investment discretion, provided the person did not, directly or indirectly, direct, participate in or receive advance notification or advice of or regarding such transaction.

Personal Securities Transaction means (i) transactions for your own account, including IRA's, or (ii) transactions for an account in which you have indirect beneficial ownership, unless you have no direct or indirect influence or control over the account. Accounts involving family (including husband, wife, minor children or other dependent relatives), or accounts in which you have a beneficial interest (such as a trust of which you are an income or principal beneficiary) are included within the meaning of "indirect beneficial interest."