Personal Trading definition

Personal Trading means the Purchase or Sale of Securities by an individual for his or her own account, any other account in which he or she is a Beneficial Owner, or any account (other than an account of an Aquila Fund) for which the Aquila employee decides what securities transactions will be effected for the account, either by making recommendations to the account owner or by entering orders directly with the broker handling the account.

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Personal Trading means the purchase or sale of Securities by an individual for his or her own account, any other account in which he or she has a "beneficial ownership" interest, or any account "controlled" by him or her. An account is "controlled" by a person when that person decides what securities transactions will be effected for the account, either by making recommendations to the account owner or by entering orders directly with the broker handling the account.

Personal Trading or “Personal Trades” means trades or transactions by Access Persons in their Personal Accounts.

Examples of Personal Trading in a sentence

Code of Ethics and Personal Trading LPL has adopted a code of ethics that includes guidelines regarding personal securities transactions of its employees and IARs. The code of ethics permits LPL employees and IARs to invest for their own personal accounts in the same securities that LPL and IARs purchase for clients in program accounts.
You acknowledge that your transactions in any shares of Common Stock you may acquire pursuant to this Award are subject to your compliance with the Company’s Personal Trading Policy, including with respect to certain blackout trading restrictions and preclearance requirements, to the extent applicable to you.
Each of the General Partner and the Subadvisors shall cause the applicable Compliance Officer to employ testing to determine compliance with the General Partner’s Personal Trading Policy at least quarterly.
Code of Ethics and Personal Trading LPL has adopted a code of ethics that includes guidelines regarding personal securities transactions of its employees and investment advisor representatives (“IARs”).
Any restrictions imposed by ▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇ Laws are separate from and in addition to restrictions and procedures imposed by the Company’s Personal Trading Policy (which is available on the Voya Intranet).
For the avoidance of doubt, ▇▇▇▇▇▇▇ acknowledges that ▇▇▇▇▇▇▇ has read the Company’s Personal Trading Policy, and agrees to comply with such policy, as it may be amended from time to time, whenever Grantee acquires, purchases, sells, disposes of, or otherwise transacts in the Company’s securities.
Please request pre-clearance for a transaction by giving a copy of the Advanced Notice for Personal Trading Form for RSAs and RSUs, attached hereto as Exhibit B, and the Pre-Clearance to Exercise Options Form for stock options, attached hereto as Exhibit C, to ▇▇▇▇▇▇▇▇ ▇▇▇▇▇.
NBIN employees’ personal investments are subject to NBIN Personal Trading Policy and are supervised as per regulatory requirements to ensure compliance with Conflict of Interest policies.
Code of Ethics, Participation or Interest in Client Transactions and Personal Trading Wilshire’s Code of Ethics (“Code”) was adopted in compliance with the requirements of the Investment Advisers Act and the Investment Company Act of 1940.
You are covered by the Personal Trading Policy until the close of business on the Termination Date.

More Definitions of Personal Trading

Personal Trading means personnel of a market participant trading for his or her personal account or indirect benefit (for example, for their immediate family members or other close parties).

Personal Trading means the purchase or sale of securities by an individual for his or her own account, any other account in which he or she has a "beneficial ownership" interest, or any account (other than an account of an advisory client of FSIM) "controlled" by him or her. As stated above, an account is "controlled" by a FSIM employee where that employee decides what securities transactions will be effected for the account, either by making recommendations to the account owner or by entering orders directly on behalf of the account.

Personal Trading or “ Pe r s onal T r ades ” means trades or transactions by Access Persons in their