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.
Appears in 172 contracts
Sources: Call Option Transaction (Zscaler, Inc.), Call Option Transaction (Microchip Technology Inc), Call Option Transaction (MKS Instruments Inc)
Conduct Rules. Each party acknowledges and agrees to be bound by the Conduct Rules of the Financial Industry Regulatory Authority, Inc. Authority applicable to transactions in options, and further agrees not to violate the position and exercise limits set forth therein.] [Reserved.]
Appears in 8 contracts
Sources: Warrant Agreement (DoorDash, Inc.), Warrant Confirmation Agreement (Akamai Technologies Inc), Base Call Option Transaction (Integer Holdings Corp)
Conduct Rules. Each party acknowledges and agrees to be bound by the Conduct Rules of the Financial Industry Regulatory Authority, Inc. Authority applicable to transactions in options, and further agrees not to violate the position and exercise limits set forth therein.
Appears in 5 contracts
Sources: Warrant Agreement (Advanced Energy Industries Inc), Warrant Agreement (Akamai Technologies Inc), Call Option Transaction (Akamai Technologies Inc)
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.]
Appears in 5 contracts
Sources: Base Call Option Transaction (Boingo Wireless Inc), Warrant Agreement (Citrix Systems Inc), Call Option Transaction (Citrix Systems Inc)
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.therein.]17 [Agency language, if necessary]
Appears in 5 contracts
Sources: Call Option Transaction (Square, Inc.), Call Option Transaction (Square, Inc.), Call Option Transaction (Square, Inc.)
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.therein.]8
Appears in 4 contracts
Sources: Call Option Transaction (Applied Digital Corp.), Call Option Transaction (Snap Inc), Call Option Transaction (Snap Inc)
Conduct Rules. Each party acknowledges and agrees to be bound by the Conduct Rules of the Financial Industry Regulatory Authority, Inc. Authority applicable to transactions in options, and further agrees not to violate the position and exercise limits set forth thereintherein.][Reserved.]
Appears in 3 contracts
Sources: Call Option Transaction (Repay Holdings Corp), Call Option Transaction (Parsons Corp), Call Option Transaction (Parsons Corp)
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.therein.]18 [Agency language, if necessary]
Appears in 2 contracts
Sources: Call Option Transaction (Dropbox, Inc.), Call Option Transaction (Dropbox, Inc.)
Conduct Rules. Each party acknowledges and agrees to be bound by the Conduct Rules of the Financial Industry Regulatory Authority, Inc. Authority applicable to transactions in options, and further agrees not to violate the position and exercise limits set forth thereintherein.]20[Reserved.]
Appears in 2 contracts
Sources: Call Option Transaction (Federal Realty OP LP), Call Option Transaction (Hannon Armstrong Sustainable Infrastructure Capital, Inc.)
Conduct Rules. Each party acknowledges and agrees to be bound by the Conduct Rules of the Financial Industry Regulatory Authority, Inc. Authority applicable to transactions in options, and further agrees not to violate the position and exercise limits set forth thereintherein.]9[Reserved.]
Appears in 2 contracts
Sources: Call Option Transaction (Meritage Homes CORP), Base Call Option Transaction (Meritage Homes CORP)
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.therein.]17
Appears in 2 contracts
Sources: Call Option Transaction (Porch Group, Inc.), Call Option Transaction (OMNICELL, Inc)
Conduct Rules. Each party acknowledges and agrees to be bound by the Conduct Rules of the Financial Industry Regulatory Authority, Inc. Authority applicable to transactions in options, and further agrees not to violate the position and exercise limits set forth therein.][
Appears in 2 contracts
Sources: Base Call Option Transaction (Live Nation Entertainment, Inc.), Additional Call Option Transaction (Live Nation Entertainment, Inc.)
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.therein.]18
Appears in 2 contracts
Sources: Call Option Transaction (Omnicell, Inc.), Call Option Transaction (Ionis Pharmaceuticals Inc)
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, in all case as such rules are applicable to such party.
Appears in 2 contracts
Sources: Call Option Transaction (Luminex Corp), Call Option Transaction (Okta, Inc.)
Conduct Rules. Each To the extent that such rules are applicable to it, 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.
Appears in 2 contracts
Sources: Call Option Transaction Confirmation (Lci Industries), Base Call Option Transaction (Lci Industries)
Conduct Rules. Each party acknowledges and agrees to be bound by the Conduct Rules of the Financial Industry Regulatory Authority, Inc. Authority applicable to transactions in options, and further agrees not to violate the position and exercise limits set forth therein.therein.][Reserved.]55
Appears in 1 contract
Conduct Rules. Each party acknowledges and agrees to be bound by the Conduct Rules of the Financial Industry Regulatory Authority, Inc. Authority applicable to transactions in options, and further agrees not to violate the position and exercise limits set forth therein.therein.][Reserved.]23
Appears in 1 contract
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.therein.][15]
Appears in 1 contract
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.therein.]16
Appears in 1 contract
Conduct Rules. Each party acknowledges and agrees to be bound by the Conduct Rules of the Financial Industry Regulatory Authority, Inc. Authority applicable to transactions in options, and further agrees not to violate the position and exercise limits set forth thereintherein.]43[Reserved.]
Appears in 1 contract
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.therein.]10 [Agency language, if necessary]
Appears in 1 contract
Sources: Call Option Transaction (Ionis Pharmaceuticals Inc)
Conduct Rules. Each party acknowledges and agrees to be bound by the Conduct Rules of the Financial Industry Regulatory Authority, Inc. Authority applicable to transactions in options, and further agrees not to violate the position and exercise limits set forth therein.] [Reserved].
Appears in 1 contract
Conduct Rules. Each party acknowledges and agrees to be bound by the Conduct Rules of the Financial Industry Regulatory Authority, Inc. Authority applicable to transactions in options, and further agrees not to violate the position and exercise limits set forth thereintherein.]66[Reserved.]
Appears in 1 contract
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.therein.](5) [Agency language, if necessary]
Appears in 1 contract
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.therein.]9
Appears in 1 contract
Conduct Rules. Each [To the extent that such rules are applicable to it, each] [Each] party acknowledges and agrees to be bound by the Conduct Rules of the Financial Industry Regulatory Authority, Inc. Authority applicable to transactions in options, and further agrees not to violate the position and exercise limits set forth therein.
Appears in 1 contract
Conduct Rules. Each party acknowledges and agrees to be bound by the Conduct Rules of the Financial Industry Regulatory Authority, Inc. Authority applicable to transactions in options, and further agrees not to violate the position and exercise limits set forth therein.therein.]17
Appears in 1 contract
Sources: Call Option Transaction (Super Micro Computer, Inc.)
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.therein.]20
Appears in 1 contract
Sources: Call Option Transaction Confirmation (McEwen Mining Inc.)
Conduct Rules. Each party acknowledges and agrees to be bound by the Conduct Rules of the Financial Industry Regulatory Authority, Inc. Authority applicable to transactions in options, and further agrees not to violate the position and exercise limits set forth therein.therein.]13[
Appears in 1 contract
Conduct Rules. Each party acknowledges and agrees to be bound by the Conduct Rules of the Financial Industry Regulatory Authority, Inc. Authority applicable to transactions in options, and further agrees not to violate the position and exercise limits set forth therein.therein.]44
Appears in 1 contract
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.therein.]35
Appears in 1 contract
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, in all cases as such rules are applicable to such party.
Appears in 1 contract
Sources: Warrant Agreement (Luminex Corp)
Conduct Rules. Each party acknowledges and agrees to be bound by the Conduct Rules of the Financial Industry Regulatory Authority, Inc. Authority applicable to transactions in options, and further agrees not to violate the position and exercise limits set forth thereintherein.]42[Reserved.]
Appears in 1 contract
Conduct Rules. Each party acknowledges and agrees to be bound by the Conduct Rules of the Financial Industry Regulatory Authority, Inc. Authority applicable to transactions in options, and further agrees not to violate the position and exercise limits set forth therein.therein.]21
Appears in 1 contract
Conduct Rules. Each party acknowledges and agrees to be bound by the Conduct Rules of the Financial Industry Regulatory Authority, Inc. Authority applicable to transactions in options, and further agrees not to violate the position and exercise limits set forth therein.therein.][Reserved.]19
Appears in 1 contract
Conduct Rules. Each party acknowledges and agrees to be bound by the Conduct Rules of the Financial Industry Regulatory Authority, Inc. Authority applicable to transactions in options, and further agrees not to violate the position and exercise limits set forth thereintherein.]10[Reserved.]
Appears in 1 contract
Sources: Base Call Option Transaction (Vishay Intertechnology Inc)
Conduct Rules. Each party acknowledges and agrees to be bound by the Conduct Rules of the Financial Industry Regulatory Authority, Inc. Authority applicable to transactions in options, and further agrees not to violate the position and exercise limits set forth thereintherein.][Reserved.]21 21 Include for applicable Dealers.
Appears in 1 contract
Sources: Call Option Transaction (Bread Financial Holdings, Inc.)
Conduct Rules. Each party acknowledges and agrees to be bound by the Conduct Rules of the Financial Industry Regulatory Authority, Inc. Authority applicable to transactions in options, and further agrees not to violate the position and exercise limits set forth therein.] 17[Reserved.]
Appears in 1 contract
Sources: Call Option Transaction (Xerox Corp)
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 optionsthe Transaction, and further agrees not to violate the position and exercise limits set forth therein.
Appears in 1 contract
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.therein.]11 [Agency language, if necessary]
Appears in 1 contract
Conduct Rules. Each party acknowledges and agrees to be bound by the Conduct Rules of the Financial Industry Regulatory Authority, Inc. Authority applicable to transactions in options, and further agrees not to violate the position and exercise limits set forth therein.therein.][Reserved.]15
Appears in 1 contract
Sources: Call Option Transaction (Cracker Barrel Old Country Store, Inc)
Conduct Rules. Each party acknowledges and agrees to be bound by the Conduct Rules of the Financial Industry Regulatory Authority, Inc. Authority applicable to transactions in options, and further agrees not to violate the position and exercise limits set forth thereintherein.]24[Reserved.]
Appears in 1 contract
Conduct Rules. Each party acknowledges and agrees to be bound by the Conduct Rules of the Financial Industry Regulatory Authority, Inc. Authority applicable to transactions in options, and further agrees not to violate the position and exercise limits set forth therein.therein.][Reserved.]22
Appears in 1 contract
Conduct Rules. Each party acknowledges and agrees to be bound by the Conduct Rules of the Financial Industry Regulatory Authority, Inc. Authority applicable to transactions in options, and further agrees not to violate the position and exercise limits set forth therein.therein.][Reserved.]24
Appears in 1 contract
Conduct Rules. Each party acknowledges and agrees to be bound by the Conduct Rules of the Financial Industry Regulatory Authority, Inc. Authority applicable to transactions in options, and further agrees not to violate the position and exercise limits set forth thereintherein.]21[Reserved.] 21 Include for applicable Dealers.
Appears in 1 contract
Sources: Call Option Transaction (Fluor Corp)
Conduct Rules. Each party acknowledges and agrees to be bound by the Conduct Rules of the Financial Industry Regulatory Authority, Inc. Authority applicable to transactions in options, and further agrees not to violate the position and exercise limits set forth thereintherein.]8[Reserved.]
Appears in 1 contract
Sources: Call Option Transaction (Vishay Intertechnology Inc)
Conduct Rules. Each party acknowledges and agrees to be bound by the Conduct Rules of the Financial Industry Regulatory Authority, Inc. Authority applicable to transactions in options, and further agrees not to violate the position and exercise limits set forth therein.therein.]42
Appears in 1 contract
Conduct Rules. Each party acknowledges and agrees to be bound by the Conduct Rules of the Financial Industry Regulatory Authority, Inc. Authority applicable to transactions in options, and further agrees not to violate the position and exercise limits set forth therein.therein.][Reserved.]48
Appears in 1 contract
Conduct Rules. Each party acknowledges and agrees to be bound by the Conduct Rules of the Financial Industry Regulatory Authority, Inc. Authority applicable to transactions in options, and further agrees not to violate the position and exercise limits set forth thereintherein.]22[Reserved.]
Appears in 1 contract
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.therein.]21
Appears in 1 contract
Sources: Call Option Transaction Confirmation (Ligand Pharmaceuticals Inc)
Conduct Rules. Each party acknowledges and agrees to be bound by the Conduct Rules of the Financial Industry Regulatory Authority, Inc. Authority applicable to transactions in options, and further agrees not to violate the position and exercise limits set forth thereintherein.]1[Reserved.]
Appears in 1 contract
Conduct Rules. Each party acknowledges and agrees to be bound by the Conduct Rules of the Financial Industry Regulatory Authority, Inc. Authority applicable to transactions in options, and further agrees not to violate the position and exercise limits set forth therein.therein.][Reserved.]45
Appears in 1 contract