Preparation and Transmission of Confirmations and Statements Sample Clauses

The "Preparation and Transmission of Confirmations and Statements" clause outlines the parties' obligations to generate and deliver written records of transactions and account activity. Typically, this clause specifies the format, timing, and method by which confirmations of trades or statements of account balances must be prepared and sent, such as via email or secure electronic platforms. Its core function is to ensure both parties have timely, accurate documentation of their dealings, reducing the risk of misunderstandings or disputes over transaction details.
Preparation and Transmission of Confirmations and Statements. Pershing shall prepare confirmations and summary periodic statements and shall, to the extent required by the Rules, transmit them to customers and Broker in a timely fashion except to the extent the parties agree in writing that Broker may transmit confirmations to customers. Confirmations and statements shall be prepared on forms disclosing that the account is carried on a fully-disclosed basis for the Broker in accordance with applicable rules, regulations, and interpretations. Broker will have the ultimate responsibility for compliance with the prospectus delivery requirements of the Securities Act of 1933, as amended, regardless of its retention of a prospectus fulfillment service (including as may be provided by Pershing) to perform delivery of same.
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Preparation and Transmission of Confirmations and Statements. Clearing Agent shall prepare confirmations and summary periodic statements and shall, to the extent required by the Rules, transmit them to customers and Introducing Firm in a timely fashion except to the extent the parties agree in writing that Introducing Firm may transmit confirmations to customers. Confirmations and statements shall be prepared on forms disclosing that the account is carried on a fully-disclosed basis for the Introducing Firm in accordance with applicable rules, regulations, and interpretations. Introducing Firm will have the ultimate responsibility for compliance with the prospectus delivery requirements of the Securities Act of 1933, as amended, regardless of its retention of a prospectus fulfillment service to perform delivery of same; provided that the parties acknowledge that prospectus delivery services shall be provided to Introducing Firm by Clearing Agent.
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Preparation and Transmission of Confirmations and Statements. GAIN, at its expense, shall prepare and deliver, in accordance with forex industry standards, confirmations and periodic summary statements on an electronic basis to Customers (and/or on a hard·-copy mailed basis if GAIN lacks the right or authority to give solely electronic statements) and Broker. All confirmations and statements shall identify GAIN as dealer and Broker as referring agent but otherwise shall, in look and feel and branding, resemble Broker’s statements to its account holders.
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Preparation and Transmission of Confirmations and Statements. Fortis shall prepare confirmations and summary periodic statements and shall, to the extent required by the Rules, transmit them to customers and Broker in a timely fashion except to the extent the parties agree in writing that Broker may transmit confirmations to customers. Confirmations and statements shall be prepared on forms disclosing that the account is carried on a fully-disclosed basis for the Broker in accordance with applicable rules, regulations, and interpretations. Broker will have the ultimate regulatory responsibility for compliance with the prospectus delivery requirements of the Securities Act of 1933, as amended, regardless of its retention of a prospectus fulfillment service to perform delivery of same.
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Preparation and Transmission of Confirmations and Statements. First Clearing shall prepare confirmations and summary periodic statements and shall, to the extent required by Applicable Law, transmit them to customers and Broker in a timely fashion except to the extent the parties agree in writing that Broker may transmit confirmations to customers. Confirmations and statements shall be prepared on forms disclosing that the account is carried on a fully-disclosed basis for Broker in accordance with applicable rules, regulations, and interpretations. Broker will have the ultimate regulatory responsibility for compliance with the prospectus delivery requirements of the Securities Act of 1933, as amended, regardless of its retention of a prospectus fulfillment service to perform delivery of same. First Clearing may deliver prospectuses and bond offering materials to Broker’s customers provided that: (i) with respect to fixed income and equity offerings in which the Broker participates, Broker is responsible for ensuring that all appropriate steps have been taken to timely “flag” in First Clearing’s systems any security that is an item requiring delivery of a prospectus and (ii) in all circumstances, First Clearing and/or its designated third-party vendor is supplied with such prospectuses and offering materials by Broker.
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Preparation and Transmission of Confirmations and Statements. RJO shall prepare confirmations and periodic summary statements and shall, to the extent required, transmit them to Customers and Broker as required by the Rules. Confirmations and statements shall be prepared on forms disclosing that the account is carried on a fully disclosed basis as introduced by the Broker.
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Related to Preparation and Transmission of Confirmations and Statements

  • Confirmations and Statements The Transfer Agent shall confirm each transaction either at the time of the transaction or through periodic reports as may be legally permitted.

  • Confirmation and Statements Promptly after the close of business on each day, the Custodian shall furnish the Fund with confirmations and a summary of all transfers to or from the account of the Fund during the day. Where securities purchased by the Fund are in a fungible bulk of securities registered in the name of the Custodian (or its nominee) or shown in the Custodian's account on the books of a Securities Depository, the Custodian shall by book-entry or otherwise identify the quantity of those securities belonging to the Fund. At least monthly, the Custodian shall furnish the Fund with a detailed statement of the Securities and monies held for the Fund under this Agreement.

  • Information Submission by Connecting Transmission Owner The initial information submission by Connecting Transmission Owner shall occur no later than one hundred eighty (180) Calendar Days prior to Trial Operation and shall include New York State Transmission System information necessary to allow the Developer to select equipment and meet any system protection and stability requirements, unless otherwise mutually agreed to by the Developer and Connecting Transmission Owner. On a monthly basis Connecting Transmission Owner shall provide Developer and NYISO a status report on the construction and installation of Connecting Transmission Owner’s Attachment Facilities and System Upgrade Facilities and System Deliverability Upgrades, including, but not limited to, the following information: (1) progress to date; (2) a description of the activities since the last report; (3) a description of the action items for the next period; and (4) the delivery status of equipment ordered.

  • Deduction and Transmission of Fee After verification by the STATE that an employee must pay the representation fee, the STATE will deduct the fee for all eligible employees in accordance with this . The mechanics of the deduction of representation fees and the transmission of such fees to the UNION will, as nearly as possible, be the same as those used for the deduction and transmission of regular membership dues to the UNION except the deduction will begin in the third pay period of each semester. The deduction will be made in equal biweekly amounts. The total agency fee deducted for each semester will be 85% of the total dues deducted for that semester.

  • COMMUNICATION AND NOTICE REQUIREMENTS All communications, notices and approvals provided for hereunder shall be in writing and mailed or delivered to the Seller or the Purchaser, as the case may be, addressed as set forth in the related Sale Agreement or at such other address as either party may hereafter designate by notice to the other party. Notice given in any such communication, mailed to the Seller or the Purchaser by appropriately addressed registered mail, shall be deemed to have been given on the day following the date of such mailing.