Securities Positions Sample Clauses

The Securities Positions clause defines the rights and obligations of the parties regarding the ownership, reporting, and management of securities held within an account or under an agreement. It typically outlines how securities positions are recorded, how changes in positions are communicated, and the responsibilities for maintaining accurate records. For example, it may specify that the account holder must promptly notify the custodian of any discrepancies or that the custodian will provide regular statements detailing all securities held. The core function of this clause is to ensure transparency and accuracy in the tracking and reporting of securities, thereby reducing the risk of disputes or errors related to asset holdings.
Securities Positions. The Company acknowledges that it has no objection to the fact that, in the course of trading activities, the Dealer Manager may from time to time have positions in, and, in accordance with applicable law, buy or sell securities of, the Company and its affiliates.
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Securities Positions. Each of the FW Entities acknowledges the fact that, in the course of trading activities, Rothschild may from time to time have positions in, and buy or sell Securities of, the Company and their affiliates.
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Securities Positions. The Seller shall, or shall cause the Company to, deliver to the Purchaser, at least 10 (ten) calendar days prior to the Closing Date or at such other time as the Parties may agree in writing, a list of all equity securities positions of the Winterthur Group in all publicly traded investees, including, in each case, an indication as to whether any public disclosure has been made in respect of any such position (including by way of making a filing with the United States Securities and Exchange Commission on Schedule 13D or Schedule 13G or equivalent beneficial ownership filings in other jurisdictions), as of the end of the calendar month preceding the month in which the Closing occurs or such other time as the Parties may agree in writing.
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Securities Positions. The Company acknowledges that it has no objection to the fact that, in the course of trading activities, the Dealer Managers may from time to time have positions in, and buy or sell securities of, any of the Company, Inco or Falconbridge Limited as agent or principal, provided that the Dealer Managers shall not acquire any securities of Inco other than in compliance with all applicable provisions of Securities Legislation relating to the acquisition of securities of an offeree company during the course of a take-over bid or tender offer.
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Securities Positions. 17 (20) Form 8-A . . . . . . . . . . . . . . . . . . . . . . . . 17 (21) Employment Agreements. . . . . . . . . . . . . . . . . . 17 (22) Press Releases . . . . . . . . . . . . . . . . . . . . . 17 (w) ACCOUNTANTS. . . . . . . . . . . . . . . . . . . . . . . 17 (x) PUBLIC RELATIONS . . . . . . . . . . . . . . . . . . . . 17 SECTION 4.
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Securities Positions. TRICOM acknowledges that it has no objection to the fact that, in the course of trading activities, the Dealer Manager and its affiliates may from time to time have positions in, and buy and sell securities of TRICOM and its affiliates.
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Securities Positions. The Company and the Guarantor acknowledge that they have no objection to the fact that, in the course of trading activities, the Dealer Managers may from time to time have positions in, and buy or sell securities of, the Company and the Guarantor and their affiliates.
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Securities Positions. The Company acknowledges that it has no objection to the fact that, in the course of trading activities, CRT may from time to time have positions in, and buy or sell securities of, the Company and its affiliates.
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Securities Positions. For a period of five (5) years from the effective date of the Registration Statement upon the Underwriters request, the Company shall furnish to the Underwriters at the Company's sole expense, (i) daily consolidated transfer sheets relating to the Securities; (ii) a list of holders of Securities; (iii) a list of, if any, the securities positions of participants in the Depository Trust Company.
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Related to Securities Positions

  • Securities Purchases In accordance with Instructions, the Custodian shall, with respect to a purchase of Securities, pay for such Securities out of monies held for a Fund's account for which the purchase was made, but only insofar as monies are available therein for such purpose, and receive the portfolio Securities so purchased. Unless the Custodian has received Special Instructions to the contrary, such payment will be made only upon receipt of Securities by the Custodian, a clearing corporation of a national Securities exchange of which the Custodian is a member, or a Securities System in accordance with the provisions of Section 4(b)(3) hereof. Notwithstanding the foregoing, upon receipt of Instructions: (i) in connection with a repurchase agreement, the Custodian may release funds to a Securities System prior to the receipt of advice from the Securities System that the Securities underlying such repurchase agreement have been transferred by book-entry into the Account maintained with such Securities System by the Custodian, provided that the Custodian's instructions to the Securities System require that the Securities System may make payment of such funds to the other party to the repurchase agreement only upon transfer by book-entry of the Securities underlying the repurchase agreement into such Account; (ii) in the case of Interest Bearing Deposits, currency deposits, and other deposits, foreign exchange transactions, futures contracts or options, pursuant to Sections 4(g), 4(h), 4(l), and 4(m) hereof, the Custodian may make payment therefor before receipt of an advice of transaction; and (iii) in the case of Securities as to which payment for the Security and receipt of the instrument evidencing the Security are under generally accepted trade practice or the terms of the instrument representing the Security expected to take place in different locations or through separate parties, such as commercial paper which is indexed to foreign currency exchange rates, derivatives and similar Securities, the Custodian may make payment for such Securities prior to delivery thereof in accordance with such generally accepted trade practice or the terms of the instrument representing such Security.

  • Deposit of Fund Assets in U.S. Securities Systems The Custodian may deposit and/or maintain securities owned by a Portfolio in a U.S. Securities System in compliance with the conditions of Rule 17f-4 under the 1940 Act, as amended from time to time.

  • Securities Matters The Company shall not be required to deliver Shares until the requirements of any federal or state securities or other laws, rules or regulations (including the rules of any securities exchange) as may be determined by the Company to be applicable are satisfied.

  • SECURITIES SYSTEMS The Custodian may deposit and/or maintain securities owned by a Portfolio in a U.S. Securities System in compliance with the conditions of Rule 17f-4 under the 1940 Act, as amended from time to time.

  • Securities Sold In accordance with Instructions, the Custodian shall, with respect to a sale, deliver or cause to be delivered the Securities thus designated as sold to the broker or other person specified in the Instructions relating to such sale. Unless the Custodian has received Special Instructions to the contrary, such delivery shall be made only upon receipt of payment therefor in the form of: (a) cash, certified check, bank cashier's check, bank credit, or bank wire transfer; (b) credit to the account of the Custodian with a clearing corporation of a national securities exchange of which the Custodian is a member; or (c) credit to the Account of the Custodian with a Securities System, in accordance with the provisions of Section 4(b)(3) hereof. Notwithstanding the foregoing, the Custodian may deliver Securities and other Assets prior to receipt of payment for such Securities in accordance with Instructions, applicable laws, generally accepted trade practices, or the terms of the instrument representing such Security or other Asset. For example, Securities held in physical form may be delivered and paid for in accordance with "street delivery custom" to a broker or its clearing agent, against delivery to the Custodian of a receipt for such Securities, provided that the Custodian shall have taken reasonable steps to ensure prompt collection of the payment for, or return of, such Securities by the broker or its clearing agent, and provided further that the Custodian shall not be responsible for the selection of or the failure or inability to perform of such broker or its clearing agent or for any related loss arising from delivery or custody of such Securities prior to receiving payment therefor.