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.
Appears in 8 contracts
Sources: Base Call Option Transaction (Sarepta Therapeutics, Inc.), Call Option Transaction (Sarepta Therapeutics, Inc.), Base Call Option Transaction (Sarepta Therapeutics, Inc.)