Securities Transaction definition

Securities Transaction means a purchase of or sale of Securities.

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Securities Transaction means a purchase or sale of Securities in which an Access Person or a member of his or her Immediate Family has or acquires a Beneficial Interest.

Securities Transaction means a purchase or sale of Securities in which an Access Person has or acquires a Beneficial Interest.

Examples of Securities Transaction in a sentence

• These Securities Terms shall apply to all Securities Transactions which you may undertake with or through us and all Services which we may offer to you to enable you to undertake any Securities Transaction.

• You further agree that we may prescribe such further terms and conditions as we consider necessary in relation to any Securities Transaction.

• This clause shall not apply in the event parties hereto are required by relevant laws or regulations or relevant Securities Transaction Authorities to disclose information relating to this Agreement to any governmental authorities, the public or the shareholders, or file this Agreement with relevant authorities for record.

• In using the Service, the User is requested to conduct transactions based on the User's own judgment and responsibility after fully reading and understanding the contents of this and other relevant Customer Agreements (including the relevant Handled Products’ securities investment trust agreement and prospectus, Securities Transaction Provisions, etc.

• 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.

More Definitions of Securities Transaction

Securities Transaction means the purchase, sale, redemption or other transaction in a Security in which an Access Person has or acquires a Beneficial Interest.

Securities Transaction means a purchase or sale of Securities in which a person (or Immediate Family member of such person) has or acquires a Beneficial Interest.

Securities Transaction means a purchase or sale of Securities in which a Covered Person has or acquires a Beneficial Interest.

Securities Transaction means a purchase or sale of a Reportable Security in which an Independent Fund Trustee acquires or has a Beneficial Interest.

Securities Transaction means a transaction (including both purchases and sales) in a Security in which the Access Person or a member of his or her Immediate Family has or acquires a Beneficial Interest. For avoidance of doubt, a donation of Securities to a charity is considered a Securities Transaction. In addition, certain investments may involve multiple Securities Transactions for purposes of this Code (e.g., purchase of option, followed by exercise of option).

Securities Transaction means a purchase or sale of Securities in which an Access Person or a member of his or her Immediate Family has or acquires a Beneficial Interest, including the writing of an option to purchase or sell the Security.

Securities Transaction means a purchase or sale of a Security.