Transferable Securities. 2. Money-market instruments;
Transferable Securities. 8. Participation in securities issues and the provision of services relating to such issues.
Transferable Securities. (f) other negotiable instruments and financial assets, including bullion;
Transferable Securities. In the event that any securities in your account become non-transferable, NFS may remove them from your account without further notice. Non- transferable securities are those where transfer agent services have not been available for six or more years. A lack of transfer agent services may be due to a number of reasons, including that the issuer of such securities may no longer be in business and may even be insolvent. Note the following: • There are no known markets for these securities. • NFS is unable to deliver certificates to you representing these positions. • These transactions will not appear on Form 1099 or any other tax reporting form. • The removal of the position will not be reported as a taxable distribution and any reinstatement of the position will not be reported as a contribution. • If transfer agent services become available sometime in the future, NFS will use its best efforts to have the position reinstated in your account. • Positions removed from your account will appear on your next available account statement following such removal as an “Expired” transaction. By opening and maintaining an account with NFS, you consent to the actions as described above, and you waive any claims against your Broker/Dealer or NFS arising out of such actions. You also understand that your Broker/Dealer does not provide tax advice concerning your account or any securities that may be the subject of removal from or reinstatement into your account and you agree to consult with your tax advisor concerning any tax implications that may arise as a result of any of these circumstances. Routing of Orders Brokerage orders (including those generated by reinvested dividends) are routed through NFS, who in turn sends orders to various exchanges or market centers for execution. In deciding where to send an order, NFS looks at a number of factors, such as size of order, trading characteristics of the security, favorable execution prices (including the opportunity for price improvement), access to reliable market data, availability of efficient automated transaction processing, and execution cost. Some market centers may execute orders at prices superior to the publicly quoted market. Although you can give instructions with a written order (though not an order placed through any telephone, electronic, or online trading system) that the order be sent to a particular marketplace, NFS’s order-routing policies are designed to result in transaction processing that is favor...
Transferable Securities b) Units in collective investment undertakings Provision of investment advice shall only be carried out by the Company subject to a separate written Suitability Report and/or Investment Policy Statement with the Client and after assessing the Client’s personal circumstances. Unless such written Report has been entered into between the Client and the Company, the provision of news and any other information by the Company, or any third parties, to the Client does not constitute investment advice or investment research. The Suitability Report and/or Investment Policy Statement will be signed by both the Company and the Client. Approved Non-Regulated Provision of ‘Other Services’ beyond the services and/or activities stated in the CIF authorisation:
Transferable Securities. 24. Where the LIF holds identifiable and transferable securities, a transfer permitted by this Addendum may, unless otherwise stipulated and at the sole option of the Trustee, be effected by remittance of the investment securities of the LIF.
Transferable Securities. Wisepower represents that upon issuance of the Securities, subject to the restrictions set forth below, the Securities will be freely transferable by the Purchasers and may be resold without any registration requirements and without Wisepower’s consent.
Transferable Securities. In the event that I sell a security prior to its ex-dividend/distribution date, and I receive the related cash/stock dividend or distribution in error, I direct You on My behalf to pay such dividend/distribution to the entitled purchaser of the securities I sold, and I guarantee to promptly reimburse You for, or deliver to You, said dividend or distribution. To receive a corporate action, I will need to be the beneficial owner of the security prior to Ex-Date, as if I purchased the security under industry standard T+2 settlement, regardless of any early settlement Ustocktrade may provide. You reserve the right to remove from My Account any security that is deemed to have been cancelled or otherwise invalidated. In determining that a security has been cancelled or invalidated, I agree that You have derived information on such assets from Me or from third parties and You are not responsible for the accuracy or reliability of any information regarding these assets. Cancelled or invalid securities may include, but are not limited to, bankruptcy or charter or registration revocation. You will notify Me if You have removed a cancelled or otherwise invalid security from My Account. Unless I provide You with evidence of the validity of the security within sixty (60) days of the notice of removal, I agree to waive any claim to any future distribution from the security and agree to indemnify and hold You harmless from any claims, liability, or damages resulting from the removal of such security. If I provide You with evidence of the validity of the security from an independent third party within 60 days of receiving the notice of removal, You will reinstate My position. In addition, You reserve the right to charge an additional servicing fee for securities for which You cannot identify a transfer agent (a "Non- Transferable Security"). The existence of a Non-Transferable Security in My Account may be noted with a notation of "N/A" for the value of that position on My account statements.
Transferable Securities. II. Money-market instruments III. Units in collective investment undertakings IV. Options, futures, swaps, forward rate agreements and any other derivative contracts relating to securities, currencies, interest rates or yields, or other derivatives instruments, financial indices or financial measures which may be settled physically or in cash V. Options, futures, swaps, forward rate agreements and any other derivative contracts relating to commodities that must be settled in cash or may be settled in cash at the option of one of the parties (otherwise than by reason of a default or other termination event)
Transferable Securities. RBC CM reserves the right to remove from clients’ accounts any securities that have no known transfer agent or administrator. The absence of a transfer agent or administrator means that a security cannot be transferred into the name of a new owner and thus cannot be traded, and it is a strong indicator that a security’s issuer is inactive or insolvent. RBC CM removes any security that has had this characteristic for a period of six years or longer. Removed securities are reported on the client’s year-end tax statement. Affected clients should consult their tax advisor for an opinion on whether they may claim a tax loss. Clients may request, through their financial professional, to receive a letter stating that there is no known current market for the removed security; however, the letter should not be considered to be conclusive evidence of a security’s worthlessness.
