Applicable Rules, Regulations, and Policies. All transactions through Fidelity are subject to the constitution, rules, regulations, customs and usages of the exchange, market or clearinghouse where executed; to any applicable policies and/or procedures of Fidelity; and to any applicable federal or state laws, rules and regulations. I also understand that all transactions and instructions related to my account are subject to Fidelity’s policies and procedures which may result in Fidelity’s refusal to accept or execute any order, instruction or transfer related to my account for any reason at any time in its sole discretion. Fidelity reserves the right to restrict my account from withdrawals and/or trades for any reason, including but not limited to if there is a reasonable suspicion of fraud, diminished capacity, or inappropriate activity. Fidelity also reserves the right to restrict my account from withdrawals and/or trades if Fidelity is put on reasonable notice that the ownership of some or all of the assets in the account is in dispute. If I am funding this account from another account, I am aware that if I select an in kind transfer, certain shares may not be transferable. Non transferable shares will be liquidated. I am responsible for confirming the eligibility of shares to be transferred prior to giving funding instructions and understanding any tax or other impact of shares that are liquidated I am aware that various federal and state laws or regulations may be applicable to transactions in my account regarding the resale, transfer, delivery or negotiation of securities, including the Securities Act of 1933 (“Securities Act”), the Securities Exchange Act of 1934, and Rules 144, 144A, 145 and 701 thereunder. I agree that it is my responsibility to notify you of the status of such securities and to ensure that any transaction I effect with you will be in conformity with such laws and regulations. I will notify you if I am or become an “affiliate”or “control person” within the meaning of the Securities Act with respect to any security held in my account. I will comply with such policies, procedures and documentation requirements with respect to “restricted” and “control” securities (as such terms are contemplated under the Securities Act) as you may require. In order to induce you to accept orders with respect to securities in my account, I represent and agree that, unless I notify you otherwise, such securities or transactions therein are not subject to the laws and regulations regarding “restricted” and “control” securities. I understand that if I engage in transactions which are subject to any special conditions under applicable law, there may be a delay in the processing of the transaction pending fulfillment of such conditions. I acknowledge that if I am an employee or “affiliate” of the issuer of a security, any transaction in such security may be governed by the issuer’s inside trading policy, and I agree to comply with such policy.
Appears in 1 contract
Sources: Brokerage Account Client Agreement
Applicable Rules, Regulations, and Policies. All transactions through Fidelity are subject to the constitution, rules, regulations, customs customs, and usages of the exchange, market market, or clearinghouse where executed; to any applicable policies and/or procedures of Fidelity; and to any applicable federal or state laws, rules rules, and regulations. I also understand that all transactions and instructions related to my account are subject to Fidelity’s policies and procedures procedures, which may result in Fidelity’s refusal to accept or execute any order, instruction instruction, or transfer related to my account for any reason at any time in its sole discretion. Fidelity reserves the right to restrict my account from withdrawals and/or trades for any reason, including but not limited to if there is a reasonable suspicion of fraud, diminished capacity, or inappropriate activity. Fidelity also reserves the right to restrict my account from withdrawals and/or trades if Fidelity is put on reasonable notice that the ownership of some or all of the assets in the account is in dispute. If I am funding this account from another account, I am aware that if I select an in in-kind transfer, certain shares may not be transferable. Non transferable Nontransferable shares will be liquidated. I am responsible for confirming the eligibility of shares to be transferred prior to giving funding instructions and understanding any tax or other impact of shares that are liquidated liquidated. I agree to conduct business with Fidelity and its affiliates electronically, which necessarily includes having my personal financial information transmitted electronically, and to electronic delivery of all documents (including my initial notice of our privacy policy) and communications related to this and all my other Fidelity accounts as detailed in the Electronic Delivery Agreement, which is incorporated herein by reference. I also agree to provide and maintain as current both my mobile number and email address to assist with account security and for the delivery of transactional alerts and communications, and I consent to Fidelity’s use of my email address and/or mobile number to message, call, or text me for these purposes. Message and data rates apply and frequency may vary. For help with texts, reply HELP. To opt out of texts, reply STOP. I acknowledge that I can update my contact information through my profile on ▇▇▇▇▇▇▇▇.▇▇▇. I agree to keep secure my account number, and I will not share any username and password I use in connection with my account with others, including but not limited to my Authorized agent/ Advisor. I understand that electronic (including wired and wireless) communications may not be encrypted, and I acknowledge that there is a risk that data, including email, electronic and wireless communications, and personal data, may be accessed by unauthorized third parties when communicated between me and Fidelity or between me and other parties. I also agree to protect Fidelity against losses arising from my usage of market data and other information provided by third parties. I am aware that various federal and state laws or regulations may be applicable to transactions in my account regarding the resale, transfer, delivery delivery, or negotiation of securities, including the Securities Act of 1933 (“Securities Act”), the Securities Exchange Act of 1934, and Rules 144, 144A, 145 145, and 701 thereunder. I agree that it is my responsibility to notify you of the status of such securities and to ensure that any transaction I effect with you will be in conformity with such laws and regulations. I will notify you if I am or become an “affiliate”or “control person” within the meaning of the Securities Act with respect to any security held in my account. I will comply with such policies, procedures procedures, and documentation requirements with respect to “restricted” and “control” securities (as such terms are contemplated under the Securities Act) as you may require. In order to induce you to accept orders with respect to securities in my account, I represent and agree that, unless I notify you otherwise, such securities or transactions therein are not subject to the laws and regulations regarding “restricted” and “control” securities. I understand that if I engage in transactions which are subject to any special conditions under applicable law, there may be a delay in the processing of the transaction pending fulfillment of such conditions. I acknowledge that if I am an employee or “affiliate” of the issuer of a security, any transaction in such security may be governed by the issuer’s inside trading policy, and I agree to comply with such policy.
Appears in 1 contract
Sources: Retirement Account Client Agreement