Restricted List definition

Restricted List means the list of companies maintained by the Compliance Officer about which the Adviser or its affiliates potentially possess material nonpublic information.

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Restricted List means the list of securities maintained by the Chief Compliance Officer in which trading by Access Persons is generally prohibited.

Restricted List means a list of securities that from time to time are not to be acquired by access persons and which list will be maintained by the Underwriter.

Examples of Restricted List in a sentence

When a security is on the Financial Agent’s Restricted List, trading or investment activities in the security by the Financial Agent’s employees or their Related Persons are prohibited.
The Executive represents that he has not been debarred under Subsection (a) or (b) of Section 306 of the United States Federal Food, Drug, and Cosmetic Act (21 U.S.C. 335a); and is not on any of the FDA clinical investigator enforcement lists (including the (i) Disqualified/Totally Restricted List, (ii) Restricted List and (iii) Adequate Assurances List).
If the Financial Agent Compliance Department finds it appropriate to halt trading in the security of a TARP-Funded Entity due to material non-public information derived from a significant transaction or proposed transaction involving the Financial Agent and the TARP-Funded Entity, the security shall be placed on the Financial Agent’s Restricted List.
Keysight may, in its sole discretion, suspend performance or cancel all or part of the order if Customer is designated on any US Restricted List or does not comply with the provisions of this section and may, in its sole discretion, refuse to perform any post-sale services with respect to the Product (including, but not limited to, any repair or replacement under warranty) if such activities would involve in any way, any entity on any US Restricted Lists.
By signing this agreement, Executive represents that Executive has not been debarred under Subsection (a) or (b) of Section 306 of the United States Federal Food, Drug, and Cosmetic Act (21 U.S.C. 335a); and is not on any FDA clinical investigator enforcement lists (including the (i) Disqualified/Totally Restricted List, (ii) Restricted List and (iii) Adequate Assurances List).

More Definitions of Restricted List

Restricted List means the list of issuers for which Covered Persons or an Invesco NA entity may be in possession of MNPI.

Restricted List means the “Pipeline” report of potential investments combined with the current holdings of the clients. PennantPark Access Persons are restricted from trading any security on the Restricted List.

Restricted List means the list of issuers for which Employees may be in possession of MNPI. As a result of possessing such MNPI, trading in the issuer is restricted or prohibited.

Restricted List means the list that the investment department provides to the Compliance Department, which includes those Securities that are being purchased or sold for client accounts and Securities that are prohibited from purchase or sale by client accounts or Employees for various reasons (e.g., large concentrated ownership positions or possession of material, non-public information).

Restricted List means a security or current list of issuers whose securities may not be traded by the firm, Access Persons and others specified in the Code.

Restricted List means the MetLife Global Restricted Issuer List, which is a confidential list maintained by Investments Compliance that includes names of issuers about which MetLife or its Affiliates or Associates possess material nonpublic information.

Restricted List means that listing of securities maintained by the Compliance Officer in which trading by certain individuals subject to the Funds' 17j-1 code of ethics is generally prohibited.