MARGIN DISCLOSURE STATEMENT Clause Samples

A Margin Disclosure Statement is a clause that informs clients about the risks and obligations associated with trading on margin. It typically outlines how margin accounts operate, including the requirement to maintain a minimum balance and the possibility of margin calls if the account value falls below certain thresholds. By providing this information, the clause ensures that clients are aware of the potential for amplified losses and the lender's rights to liquidate assets, thereby promoting transparency and helping clients make informed decisions about leveraged trading.
MARGIN DISCLOSURE STATEMENT. This statement is being furnished to you to provide some basic facts about purchasing securities on margin, and to alert you to the risks involved with trading securities in a margin account. Before trading securities in a margin account, you should carefully review the Margin Agreement provided by your brokerage firm (the Firm). Consult your Financial Advisor regarding any questions or concerns you may have with your margin accounts. When you purchase securities, you may pay for the securities in full or you may borrow part of the purchase
View SourceView Similar (3)
MARGIN DISCLOSURE STATEMENT. An important Margin Disclosure Statement is attached to this Agreement at Appendix A. While the Margin Disclosure Statement does not amend or supersede the terms of the RBC Express Credit agreement, it does provide additional facts about purchasing securities on margin, and describes the risks involved with trading securities in an RBC Express Credit account. Before trading stocks in an RBC Express Credit account, I understand that I should carefully review the RBC Express Credit agreement and the attached Margin Disclosure Statement. 11.
View SourceView Similar (3)
MARGIN DISCLOSURE STATEMENT. (where applicable) 5.1 When considering a margin loan, the Customer should determine how the use of margin fits his own investment philosophy. It is important that the Customer fully understands the risks, rules, and requirements involved in trading securities on margin.
View SourceView Similar (3)
MARGIN DISCLOSURE STATEMENT. This statement is being furnished to you to provide some basic facts about purchasing securities on margin, and to alert you to the risks involved with trading securities in a margin account. Before trading securities in a margin account, you should carefully review the Margin Agreement provided by your brokerage firm (the Firm). Consult your Broker regarding any questions or concerns you may have with your margin accounts. When you purchase securities, you may pay for the securities in full or you may borrow part of the purchase price from HTS. If you choose to borrow funds, a margin account will be opened and interest will be charged on amounts borrowed by you from HTS. The securities purchased are collateral for the loan to you. If the securities in your account decline in value, so does the value of the collateral supporting your loan, and, as a result, HTS or your Broker can take action, such as issue a margin call and/or sell securities or other assets in any of your accounts held with HTS, in order to maintain the required equity in the account. It is important that you fully understand the risks involved in trading securities on margin. These risks include the following: • HTS will charge interest on settled balances for any credit extended to you. Interest will accrue on a daily basis for these balances. Please consult your Broker for additional information. • You can lose more funds than you deposit in the margin account. A decline in the value of securities that are purchased on margin may require you to provide additional funds to HTS to avoid the forced sale of those securities or other securities or assets in your account(s). • The Firm or HTS can force the sale of securities or other assets in your account(s). If the equity in your account falls below the maintenance margin requirements or HTS’ higher “house” requirements, HTS or your Broker can sell the securities or other assets in any of your accounts held at HTS to cover the margin deficiency. You also will be responsible for any shortfall in the account after such a sale. • Your securities or other assets may be sold without contacting you. Some investors mistakenly believe that HTS or your Broker must contact the customer for a margin call to be valid, and that HTS or your Broker cannot liquidate securities or other assets in customer accounts to meet the call unless HTS or your Broker have contacted customers first. This is not the case. Most firms will attempt to notify customers of ...
View SourceView Similar (2)
MARGIN DISCLOSURE STATEMENT. An important Margin Disclosure Statement is attached to this Agreement at Appendix A. While the Margin Disclosure Statement does not amend or supersede the terms of the margin agreement, it does provide additional facts about purchasing securities on margin, and describes the risks involved with trading securities in a margin account. Before trading stocks in a margin account, I understand that I should carefully review the margin agreement and the attached Margin Disclosure Statement. 11.
View SourceView Similar (2)
MARGIN DISCLOSURE STATEMENT. The Introducing Firm shall be responsible for providing its customer with the margin disclosure statement at the time of the opening of the account in accordance with NASD Rule 2341.
View Source
MARGIN DISCLOSURE STATEMENT. An important Margin Disclosure Statement is attached to this PLOC Agreement at Appendix A. While the Margin Disclosure Statement does not amend or supersede the terms of this PLOC Agreement, it does provide additional facts about using margin, including without limitation, purchasing securities on margin, and describes the risks involved with trading securities in a margin account. Before trading stocks in a margin account, you understand that you should carefully review this PLOC Agreement and the attached Margin Disclosure Statement.
View Source

Related to MARGIN DISCLOSURE STATEMENT

  • Disclosure Statement A disclosure statement of the Property signed and dated by the Seller;

  • Risk Disclosure Statement Counterparty represents and warrants that it has received, read and understands the OTC Options Risk Disclosure Statement provided by Dealer and a copy of the most recent disclosure pamphlet prepared by The Options Clearing Corporation entitled “Characteristics and Risks of Standardized Options”.

  • Transactions Requiring Disclosure to FINRA 2.17.1 Finder’s Fees. There are no claims, payments, arrangements, agreements or understandings relating to the payment of a finder’s, consulting or origination fee by the Company or any Insider with respect to the sale of the Securities hereunder or any other arrangements, agreements or understandings of the Company or to the Company’s knowledge, assuming reasonable inquiry, any Insider that may affect the Underwriters’ compensation, as determined by FINRA.

  • Notice Regarding Material Contracts Promptly, and in any event within ten Business Days (i) after any Material Contract of Holdings or any of its Subsidiaries is terminated or amended in a manner that is materially adverse to Holdings or such Subsidiary, as the case may be, or (ii) any new Material Contract is entered into, a written statement describing such event, with copies of such material amendments or new contracts, delivered to Administrative Agent (to the extent such delivery is permitted by the terms of any such Material Contract, provided, no such prohibition on delivery shall be effective if it were bargained for by Holdings or its applicable Subsidiary with the intent of avoiding compliance with this Section 5.1(l)), and an explanation of any actions being taken with respect thereto;

  • Transactions Affecting Disclosure to Finra 2.18.1. Except as described in the Preliminary Prospectus and/or the Prospectus, there are no claims, payments, arrangements, agreements or understandings relating to the payment of a finder’s, consulting or origination fee by the Company or the Initial Shareholders with respect to the sale of the Securities hereunder or any other arrangements, agreements or understandings of the Company or, to the Company’s knowledge, the Initial Shareholders that may affect the Underwriters’ compensation, as determined by FINRA. 2.18.2. The Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (i) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or provided capital to the Company; (ii) to any FINRA member; or (iii) to any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve (12) months prior to the Effective Date, other than payments to the Representative. 2.18.3. No officer, director, or beneficial owner of any class of the Company’s securities (whether debt or equity, registered or unregistered, regardless of the time acquired or the source from which derived) (any such individual or entity, a “Company Affiliate”) is a member, a person associated, or affiliated with a member of FINRA. 2.18.4. No Company Affiliate is an owner of stock or other securities of any member of FINRA (other than securities purchased on the open market). 2.18.5. No Company Affiliate has made a subordinated loan to any member of FINRA. 2.18.6. No proceeds from the sale of the Public Securities (excluding underwriting compensation) or the Placement Securities or Additional Placement Securities will be paid to any FINRA member, or any persons associated or affiliated with a member of FINRA, except as specifically authorized herein and in the Subscription Agreements. 2.18.7. The Company has not issued any warrants or other securities, or granted any options, directly or indirectly to anyone who is a potential underwriter in the Offering or a related person (as defined by FINRA rules) of such an underwriter within the 180-day period prior to the initial filing date of the Registration Statement. 2.18.8. No person to whom securities of the Company have been privately issued within the 180-day period prior to the initial filing date of the Registration Statement has any relationship or affiliation or association with any member of FINRA. 2.18.9. No FINRA member intending to participate in the Offering has a conflict of interest with the Company. For this purpose, a “conflict of interest” exists when a member of FINRA and its associated persons, parent or affiliates in the aggregate beneficially own 10% or more of the Company’s outstanding subordinated debt or common equity, or 10% or more of the Company’s preferred equity. “Members participating in the Offering” include managing agents, syndicate group members and all dealers which are members of FINRA. 2.18.10. Except with respect to the Representative in connection with the Offering, the Company has not entered into any agreement or arrangement (including, without limitation, any consulting agreement or any other type of agreement) during the 180-day period prior to the initial filing date of the Registration Statement, which arrangement or agreement provides for the receipt of any item of value and/or the transfer of any warrants, options, or other securities from the Company to a FINRA member, any person associated with a member (as defined by FINRA rules), any potential underwriters in the Offering and any related persons.