SECURITIES TRANSFERS Sample Clauses

SECURITIES TRANSFERS. Subject to our discretion and acceptance, you may transfer securities into your Account. You understand that fees will be charged on transferred securities, which may have previously incurred transaction or other costs. We are not responsible for any actions undertaken by a broker-dealer or investment adviser prior to the transfer and you agree to hold RIA, WFA, and the applicable Sub- Advisor harmless and indemnify RIA, WFA, and the applicable Sub-Advisor from any and all liability, loss, or damages arising directly or indirectly from any actions taken prior to the transfer of such securities into your Account. In addition, you understand that RIA or the Sub-Advisor may sell, liquidate, or otherwise dispose of some or all of the securities transferred into the Account pursuant to the discretion granted by you to RIA and/or Sub-Advisor. You authorize RIA, WFA and the Sub-Advisor, at our or their discretion, to convert existing mutual funds in your Account to any available institutional share or advisory program share class ("Advisory Share Class") without your prior consent.
Sample 1Sample 2Sample 3See All (8)
AutoNDA by SimpleDocs
SECURITIES TRANSFERS. Pershing will process security transfer requests upon written instructions. In the event it is necessary to request any of the above transactions through our clearing firm, specific instructions can be found in Pershing’s account opening documents, Royal Alliance’s Web site at xxxx://xxx.xxxxxxxxxxxxx.xxx and on Pershing’s Web site at xxxx://xxx.xxxxxxxx.xxx/customer_support.html
Sample 1
SECURITIES TRANSFERS. All transfers of securities to be transferred to the Collateral Account shall be effected by Pledgee's transfer of the same to the account and at the location and within the time periods designated in Exhibit A hereto. All securities transferred to Custodian shall be in negotiable form.
Sample 1
SECURITIES TRANSFERS. (a) The Subscriber understands that the Shares and Warrants have not been registered (i) under the U.S. Securities Act of 1933, as amended (the "Securities Act") with the SEC in reliance upon the exemption from such registration requirements afforded by Regulation S under the Securities Act, governing the offer and sale of securities that occur outside the U.S., or (ii) with any state securities commission. The Subscriber understands that the Shares and Warrants may not be offered, sold, transferred or otherwise disposed of in the U.S., its territories or possessions, or to persons known to be residents of the U.S. or to a "U.S. person" within the meaning of Regulation S under the Securities Act ("U.S. Person"; see the definition of U.S. Person annexed hereto as Exhibit B) until the effectiveness of a registration statement registering --------- the Shares and Warrants under the Securities Act or an exemption from the registration requirements under the Securities Act is available.
Sample 1

Related to SECURITIES TRANSFERS

  • Securities Transactions The Subadviser and any affiliated person of the Subadviser will not purchase securities or other instruments from or sell securities or other instruments to the Fund; provided, however, the Subadviser or any affiliated person of the Subadviser may purchase securities or other instruments from or sell securities or other instruments to the Fund if such transaction is permissible under applicable laws and regulations, including, without limitation, the 1940 Act and the Advisers Act and the rules and regulations promulgated thereunder. The Subadviser, on its own behalf and with respect to its Access Persons (as defined in subsection (e) of Rule 17j-1 under the 1940 Act), agrees to observe and comply with Rule 17j-1 and its Code of Ethics (which shall comply in all material respects with Rule 17j-1), as the same may be amended from time to time. On at least an annual basis, the Subadviser will comply with the reporting requirements of Rule 17j-1, which may include either (i) certifying to the Adviser that the Subadviser and its Access Persons have complied with the Subadviser’s Code of Ethics with respect to the Subadviser Assets or (ii) identifying any violations which have occurred with respect to the Subadviser Assets. The Subadviser will have also submitted its Code of Ethics for its initial approval by the Board of Trustees no later than the date of execution of this agreement and subsequently within six months of any material change thereto.

  • Prior Securities Transactions No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement.

  • Funds Transfers With respect to each Instruction for a Cash transfer, when the Instruction is to credit or pay a party by both a name and a unique numeric or alpha-numeric identifier (e.g., IBAN or ABA or account number), BNY Mellon and any other bank participating in the Cash transfer will be entitled to rely solely on such numeric or alpha-numeric identifier, even if it identifies a party different from the party named. Such reliance on an identifier will apply to beneficiaries named in the Instruction, as well as any financial institution that is designated in the Instruction to act as an intermediary in such Cash transfer. To the extent permitted by applicable law, the Parties will be bound by the rules of any transfer system used to effect a Cash transfer under this Agreement.

  • Denominations; Transfers and Exchanges All Notes will be in registered form, without coupons, in principal amounts equal to any Authorized Denominations. Subject to the terms of the Indenture, the Holder of this Note may transfer or exchange this Note by presenting it to the Registrar and delivering any required documentation or other materials.

  • No Securities Transactions Neither the Company nor any Signing Shareholder, severally and not jointly, or any of their affiliates, directly or indirectly, shall engage in any transactions involving the securities of Parent prior to the time of the making of a public announcement of the transactions contemplated by this Agreement. The Company shall use its best efforts to require each of its officers, directors, employees, agents and representatives to comply with the foregoing requirement.

  • Recent Securities Transactions, etc Except as contemplated in the Prospectus, subsequent to the respective dates as of which information is given in the Registration Statement and the Prospectus, and except as may otherwise be indicated or contemplated herein or therein, the Company has not: (i) issued any securities or incurred any liability or obligation, direct or contingent, for borrowed money; or (ii) declared or paid any dividend or made any other distribution on or in respect to its capital stock.

  • SECURITIES SYSTEMS The Custodian may deposit and/or maintain securities owned by a Portfolio in a U.S. Securities System in compliance with the conditions of Rule 17f-4 under the 1940 Act, as amended from time to time.

  • Securities Sold In accordance with Instructions, the Custodian shall, with respect to a sale, deliver or cause to be delivered the Securities thus designated as sold to the broker or other person specified in the Instructions relating to such sale. Unless the Custodian has received Special Instructions to the contrary, such delivery shall be made only upon receipt of payment therefor in the form of: (a) cash, certified check, bank cashier's check, bank credit, or bank wire transfer; (b) credit to the account of the Custodian with a clearing corporation of a national securities exchange of which the Custodian is a member; or (c) credit to the Account of the Custodian with a Securities System, in accordance with the provisions of Section 4(b)(3) hereof. Notwithstanding the foregoing, the Custodian may deliver Securities and other Assets prior to receipt of payment for such Securities in accordance with Instructions, applicable laws, generally accepted trade practices, or the terms of the instrument representing such Security or other Asset. For example, Securities held in physical form may be delivered and paid for in accordance with "street delivery custom" to a broker or its clearing agent, against delivery to the Custodian of a receipt for such Securities, provided that the Custodian shall have taken reasonable steps to ensure prompt collection of the payment for, or return of, such Securities by the broker or its clearing agent, and provided further that the Custodian shall not be responsible for the selection of or the failure or inability to perform of such broker or its clearing agent or for any related loss arising from delivery or custody of such Securities prior to receiving payment therefor.

Time is Money Join Law Insider Premium to draft better contracts faster.