Restricted Lists definition

Restricted Lists means any list of issuers or securities maintained by Morgan Stanley where trading in Employee Securities Accounts is restricted due to Firm policies or regulation.
Restricted Lists means any list of issuers or securities maintained by Morgan Stanley where trading in Personal Securities Accounts is restricted due to Firm policies or regulation. SCHEDULE A SECURITIES TRANSACTION MATRIX
Restricted Lists means any list of issuers or securities maintained by Morgan Stanley where trading in Personal Securities Accounts is restricted due to Firm policies or regulation.SCHEDULE ASECURITIES TRANSACTION MATRIXPooled Investment Vehicles:Closed-End Funds Yes Proprietary or Sub-advised Mutual Fund No Unit Investment Trusts No Exempt ETFs1 No Exchange-Traded Funds (ETFs) (not listed in the Exempt ETF List) Yes Exchange-Traded Notes (ETNs) Yes Hedge Funds Yes Equities:Morgan Stanley Securities2 Yes Common Stocks Yes Listed Depository Receipts e.g. ADRs, Ads, GDRs Yes DRIPs3 Yes Corporate Non-Voluntary Actions (e.g., Stock Splits, Mergers, Spin-off etc.) No Rights Yes Stock Dividend No Warrants (Listed and Exercised) Yes Preferred Stock Yes Listed Real Estate Investment Trusts (REITs) Yes Initial Public Offerings (equity IPOs) and Secondary/Follow on offerings

Examples of Restricted Lists in a sentence

  • Corporate and Departmental Restricted Lists: Employees are not permitted to buy or sell any securities that are included on the Corporate Restricted List (available on the intranet) and/or other applicable departmental restricted lists.

  • PPA Model Personnel will be notified of all such personal trading Blackout Periods and Restricted Lists in writing by local Compliance.

  • The Preclearance Compliance Officer will retain copies of Restricted Lists for six years.

  • The contents of any Restricted Lists shall be considered material non-public information and is subject to the considerations of the Inside Information/Information Barrier Policy and Procedure.

  • Corporate and Departmental Restricted Lists: Employees are not permitted to buy or sell any Securities that are included on the Corporate Restricted List (available on the intranet) and/or other applicable departmental restricted lists.

  • These Restricted Lists identify issuers that are subject to certain trading restrictions.

  • In order to comply with the federal securities laws and to detect and prevent both the misuse of material nonpublic information as well as the appearance of impropriety in connection with securities transactions, Investments Compliance maintains two confidential Restricted Lists containing the names of companies about which MetLife, its Affiliates, or any of their Associates possess material nonpublic information.

  • Employees may not purchase or sell a security in an Employee Related Account if such security is listed on the firm’s Gray or Restricted Lists.

  • The Restricted List(s) is a list of issuers in which an Adviser’s employees are restricted from trading.

  • Issuers may be added to the Restricted List(s) in the event that the Adviser or certain of its employees have actual possession of material non-public information about a company or transaction.


More Definitions of Restricted Lists

Restricted Lists means any list of issuers or securities maintained by Morgan Stanley where trading in Employee Securities Accounts is restricted due to Firm policies or regulation.II.TYPES OF ACCOUNTS/ACCOUNT OPENING REQUIREMENTS
Restricted Lists means any list of issuers or securities maintained by Morgan Stanley where trading in Personal Securities Accounts is restricted due to Firm policies or regulation.SCHEDULE ASECURITIES TRANSACTION MATRIXPooled Investment Vehicles:Closed-End Funds Proprietary or Sub-advised Mutual Fund Unit Investment Trusts Exempt ETFs1 Exchange-Traded Funds (ETFs) (not listed in the Exempt ETF List) Exchange-Traded Notes (ETNs) Hedge Funds Equities:Morgan Stanley Securities2 Common Stocks Listed Depository Receipts e.g. ADRs,Ads, GDRs DRIPs3 Corporate Non-Voluntary Actions (e.g., Stock Splits, Mergers, Spin-off etc.) Rights Stock Dividend Warrants (Listed and Exercised) Preferred Stock Listed Real Estate Investment Trusts (REITs) Initial Public Offerings (equity IPOs) and Secondary/Follow on offerings
Restricted Lists means Restricted List - Level I (“Grey List - Designated Persons and PI List”) and Restricted List - Level II (“Employees and PI Restriction”) as maintained under the Prevention of Insider Trading Policy of Ambit Group.

Related to Restricted Lists

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

  • Restricted License is any material license or other agreement with respect to which Borrower is the licensee (a) that prohibits or otherwise restricts Borrower from granting a security interest in Borrower’s interest in such license or agreement or any other property, or (b) for which a default under or termination of could interfere with the Bank’s right to sell any Collateral.

  • Restricted Client means any person:

  • Restricted Debt has the meaning set forth in Section 6.04(b).

  • Restricted network provision means any provision which conditions the payment of benefits, in whole or in part, on the use of network providers.

  • Highly restricted personal information means an individual’s photograph or image, social security number, digitized signature, and medical and disability information.

  • Restricted materials means pesticides established as restricted materials under Title 3, California Code of Regulations, section 6400.

  • Restricted Geographic Area is defined as all countries, territories, parishes, municipalities and states in which Company is doing business or is selling its products at the time of termination of Employee’s employment with Company, including but not limited to every parish and municipality in the state of Louisiana. Employee acknowledges that this geographic scope is reasonable given Employee's position with Company, the international scope of Company's business; and the fact that Employee could compete with Company from anywhere Company does business.

  • Restricted Company means any of the foregoing.

  • Converted Restricted Subsidiary has the meaning specified in the definition of “Consolidated EBITDA.”

  • Restricted Group Collectively, the following persons and entities: the Trustee; the Underwriters; the Depositor; the Master Servicer; the Special Servicer; any Sub-Servicers; the Sponsors; each Mortgagor, if any, with respect to Mortgage Loans constituting more than 5% of the total unamortized principal balance of all the Mortgage Loans in the Trust Fund as of the Closing Date; and any and all Affiliates of any of the aforementioned Persons.

  • Restricted rights, as used in this clause, means the rights of the Government in restricted computer software, as set forth in a Restricted Rights Notice of paragraph (g) if included in this clause, or as otherwise may be provided in a collateral agreement incorporated in and made part of this contract, including minor modifications of such computer software.

  • Foreign Restricted Subsidiary means any Restricted Subsidiary that is not organized under the laws of the United States of America or any State thereof or the District of Columbia.

  • Restricted companies means companies that boycott Israel.

  • Restricted Parties has the meaning set forth in Section 6.15(a).

  • Restricted Party means a person that is:

  • Restricted Person shall have the meaning assigned to such term in Section 6.9(i).

  • Permitted Licenses are (A) licenses of over-the-counter software that is commercially available to the public, and (B) non-exclusive and exclusive licenses for the use of the Intellectual Property of Borrower or any of its Subsidiaries entered into in the ordinary course of business, provided, that, with respect to each such license described in clause (B), (i) no Event of Default has occurred or is continuing at the time of such license; (ii) the license constitutes an arms-length transaction, the terms of which, on their face, do not provide for a sale or assignment of any Intellectual Property and do not restrict the ability of Borrower or any of its Subsidiaries, as applicable, to pledge, grant a security interest in or lien on, or assign or otherwise Transfer any Intellectual Property; (iii) in the case of any exclusive license, (x) Borrower delivers ten (10) days’ prior written notice and a brief summary of the terms of the proposed license to Collateral Agent and the Lenders and delivers to Collateral Agent and the Lenders copies of the final executed licensing documents in connection with the exclusive license promptly upon consummation thereof, and (y) any such license could not result in a legal transfer of title of the licensed property but may be exclusive in respects other than territory and may be exclusive as to territory only as to discrete geographical areas outside of the United States; and (iv) all upfront payments, royalties, milestone payments or other proceeds arising from the licensing agreement that are payable to Borrower or any of its Subsidiaries are paid to a Deposit Account that is governed by a Control Agreement.

  • Restricted Data means data typically exempt from public disclosure requirements under the provisions of applicable state or federal law. Examples of restricted information are regulated and confidential data.

  • Restricted Information means any information which is disclosed to one party to this Agreement by the other pursuant to or in connection with this Agreement (whether orally or in writing, and whether or not such information is expressly stated to be confidential or marked as such);

  • Significant Restricted Subsidiary means a Restricted Subsidiary, or a group of Restricted Subsidiaries, that would, when taken together, be a “significant subsidiary” within the meaning of the definition of “significant subsidiary” in Article 1, Rule 1-02(w) of Regulation S-X, promulgated pursuant to the Securities Act, as such Regulation is in effect on the Exchange Date; provided that in each instance in such definition in which the term “10 percent” is used, the term “5 percent” shall be substituted therefor.