Conduct Rules Clause Samples
The Conduct Rules clause sets out the expected standards of behavior and professional conduct for parties involved in an agreement or within an organization. Typically, it outlines specific obligations such as acting honestly, maintaining confidentiality, avoiding conflicts of interest, and complying with applicable laws and policies. By clearly defining acceptable and unacceptable behaviors, this clause helps ensure a respectful, ethical, and legally compliant environment, reducing the risk of disputes and misconduct.
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Conduct Rules. Each party acknowledges and agrees to be bound by the Conduct Rules of the Financial Industry Regulatory Authority, Inc. applicable to transactions in options, and further agrees not to violate the position and exercise limits set forth therein.
Conduct Rules. Each party acknowledges and agrees to be bound by the Conduct Rules of the Financial Industry Regulatory Authority, Inc. applicable to transactions in options, and further agrees not to violate the position and exercise limits set forth therein. 13 Insert for Base Call Option Confirmation. 14 Insert for Additional Call Option Confirmation. 29
Conduct Rules. Each of Dealer and Counterparty acknowledges and agrees to be bound by the Conduct Rules of the Financial Industry Regulatory Authority, Inc. applicable to transactions in options, and further agrees not to violate the position and exercise limits set forth therein.
Conduct Rules. Each party (i) is an “institutional account” as defined in Financial Industry Regulatory Authority, Inc. (“FINRA”) Rule 4512 and (ii) acknowledges and agrees to be bound by the FINRA Conduct Rules applicable to transactions in options, and further agrees not to violate the position and exercise limits set forth therein.
Conduct Rules. Counterparty acknowledges and agrees to be bound by the Conduct Rules of the Financial Industry Regulatory Authority, Inc. applicable to transactions in options, and further agrees not to violate the position and exercise limits set forth therein.
Conduct Rules. All persons must use the door entry swipe even if someone holds the door for you.
Conduct Rules. In the event that any broker-dealer registered under the Exchange Act shall underwrite any Registrable Securities or participate as a member of an underwriting syndicate or selling group or "assist in the distribution" (within the meaning of the Conduct Rules and the By-Laws of the NASD) thereof, whether as a Holder of such Registrable Securities or as an underwriter, a placement or sales agent or a broker or dealer in respect thereof, or otherwise, assist such broker-dealer in complying with the requirements of such Conduct Rules and By-Laws, including, without limitation, by (i) engaging a "qualified independent underwriter" (as defined in such Conduct Rules) to participate in the preparation of such Registration Statement relating to such Registrable Securities and to exercise usual standards of due diligence in respect thereto, (ii) indemnifying any such qualified independent underwriter to the same extent as the Company indemnifies the Holders under Section 8 hereof, and (iii) providing such information to such broker-dealer as may be required in order for such broker-dealer to comply with the requirements of the Conduct Rules of the NASD; and
Conduct Rules. The TENANT hereby agrees to strictly observe all Government, Provincial and Municipal Laws, Bylaws and Regulations applicable to the property and the Conditions of Title of the property and the rules of the Home Owners Association (if any) and / or the Body Corporate in the case of Sectional Title units. A copy of the Body Corporate or Home Owners Association Rules relating to the property (if applicable) is to be annexed to this agreement and initialed by the TENANT. Should these rules change the TENANT should be informed and undertakes to be bound by such amended rules.
19.1 Should the TENANT transgress any of the conduct or any other related rules of the Body Corporate or Home Owners Association or any such rules that may from time to time come into effect; it shall be construed as a material breach of the lease agreement and the LANDLORD may implement any term hereof in any manner it deems necessary. Should the Body Corporate or Home Owners Association fine or implement a penalty due to such breach the TENANT shall be held solely liable. The LANDLORD is entitled to invoice the TENANT for said amount and appropriate any payment, including the Deposit, by the TENANT to the fine or penalty.
Conduct Rules. Identification: All students must bring their current student ID and will be required to show their student ID at check, upon boarding the bus, and when otherwise asked.
Conduct Rules. The LANDLORD will establish rules for the building, which may be altered from time to time at the LANDLORD’s discretion, and the TENANT agrees to be bound thereto.