E trade securities brokerage customer agreement format
You will be liable to us for the payment of any present or future trade, debit balance, margin call or other obligation owing in your Account, including, without limitation, for any deficiency remaining in your Account in the event of the Account's liquidation, in whole or in part, by you or by us. You agree to pay all such obligations to us promptly upon demand by us to you.
If, at the time we debit your Account for debit balances or other obligations, the balance in your Account is not sufficient to cover them, you grant us the right to sell any Property in your Account to cover amounts due to us. AUB shall have the right in its sole discretion, but not the obligation, to liquidate all or any part of Customer's positions in any of Customer's Accounts, whether carried individually or jointly with others including by the entry of offsetting transactions at any time and in such manner and in any market as AUB deems necessary, without prior notice to the Customer.
Customer agrees to be responsible for, and promptly pay to AUB, any deficiencies in Customer's Account which arise from such liquidation or remain after such liquidation. If an Account incurs a deficit for any reason, interest will be charged on the debit balance owed by Customer to AUB until the deficit is repaid.
Liability for Costs of Collection: All Property in any Account, whether held at AUB or by its Executing Broker, in which you have or acquire an interest, as well as all other Property which is in or comes into AUB's or e trade securities brokerage customer agreement format Executing Broker's possession or is or becomes subject to AUB's or its Executing Broker's control for any purpose, including specifically Property that is intended for another or that is administratively passing through your or another's Account in which you have an interest, is subject to a continuing lien for the payment when due of all present and future indebtedness and any other obligations you may have to us.
We will hold all Property in our possession or subject to our control as security for the payment of any obligations you have or incur in the future to us. Subject to applicable law, we may, without giving you any prior notice, transfer any and all such Property from or to any Account held by us in which you have an interest whenever, in our judgment, we consider such a transfer necessary for our protection. In enforcing our lien, we e trade securities brokerage customer agreement format have the discretion to determine which Property is to be sold and which open contracts or other instruments are to be closed out, and whether any additional collateral should be provided or otherwise, in such circumstances as we may deem necessary to protect our interests.
AUB, without notice to Customer, may use, transfer or sell any or all of Customer's Property to enforce its lien. Pledge and Lending of Securities and Other Property: Whenever there is a debit balance in any Account, all Property held, carried or maintained by us in any of your Account s may be pledged and re-pledged, hypothecated and re-hypothecated or loaned by us, without any notice to you, either separately or together e trade securities brokerage customer agreement format the Property of others, and for more or less than the amount of such debit balance.
We may do so without retaining in our possession or control an equal amount of similar Property. Account Monitoring and Responsibility for Account Accuracy: Neither of us nor any of our directors, officers, employees, agents, contractors, Affiliates, Third Party Providers, information providers, licensors, or other suppliers providing data, information, or services collectively, the e trade securities brokerage customer agreement format parties"warrants that the Services will be uninterrupted or error free; nor do any of us e trade securities brokerage customer agreement format them make any warranty as to the results that may be obtained from the use of the website, or as to the timeliness, sequence, accuracy, completeness, reliability or content of any information, service, or e trade securities brokerage customer agreement format provided through the website, or with respect to any software provided for use in accessing the website.
The Services are provided on an "as is", "as available" basis, without warranties of any kind, either express or implied, including, without limitation, those of merchantability and fitness for a particular purpose, other than those warranties which are implied by and incapable of exclusion, restriction or modification under the laws applicable to this E trade securities brokerage customer agreement format.
No disseminating party shall be liable in any way to you or to any other person for:. Customer recognizes that there may be delays or interruptions in the use of the AUB system, including, for example, those caused intentionally by AUB for purposes of servicing the AUB system. No Direct Access to Marketplace: You understand that we do not provide you with direct access to the marketplace nor do we internally or automatically execute your orders.
Rather, we deliver your orders, if accepted by us, to executing brokers, exchanges, marketplaces or market makers for execution collectively, the "marketplace". Accordingly, as a result of the multiple parties, systems and other requirements necessary to deliver your orders to the marketplace for execution, there may be delays in executing, canceling or modifying your orders.
You understand, therefore, that you will receive the price at which your order is actually executed in the marketplace, which may be e trade securities brokerage customer agreement format from the price displayed by the marketplace or on your Access Device at the time you place your e trade securities brokerage customer agreement format.
Late and Corrected Reports and Information: We may receive late reports from the marketplace reporting the status of e trade securities brokerage customer agreement format, and accordingly, your Account may be subject to late reports related to orders that were previously unreported to you or reported to you as having expired or been canceled or e trade securities brokerage customer agreement format. You understand that any reporting or posting errors, including errors in execution prices, will be corrected to reflect what actually occurred in the marketplace, and that you will receive the price at which your order is actually executed in the marketplace, which may be different from the price displayed on your Access Device when you place your order.
You agree to assume all liability, including any indirect or consequential damages, associated with such movements or error correction in the marketplace quotation you receive prior to or at the time you place the order and the execution price you receive. Alternatively, "limit orders" may provide some price protection in a Fast Market, but there is a risk that your e trade securities brokerage customer agreement format may not be executed if the market price does not reach your limit order price.
Cancellation and Modification Requests: You agree that we cannot guarantee that e trade securities brokerage customer agreement format request to cancel or modify an order you have placed will be effective, even though you submit such request before receiving notice that the order was executed. You acknowledge that a requested cancellation or modification of a prior order will not be effected unless we have had sufficient time to forward the request to the actual marketplace involved, the request is received in the marketplace, and the marketplace has matched the request with your order before it is executed.
We cannot guarantee that the marketplace will match your cancellation or modification request with your prior order, even if such request is received by the same marketplace before the order is executed. You understand, therefore, that your requested cancellation or modification of a prior order will not be effective, and you may not assume that your prior order has been canceled or modified, unless and until you have received notice of the cancellation or modification from us.
If you place any orders, make any decision or take any action in reliance on your cancellation or modification request before receiving notice of the cancellation or modification from us, you do so at your own risk, and you agree that you will in no way hold us or any of our Third Party Providers or Affiliates responsible for any expenses or losses incurred in so doing including, without limitation, damages for lost profits or trading losses.
During Fast Markets, it may be more difficult or impossible to cancel or modify your orders. Additionally, if you place a "market order" in a Fast Market, there may be a significant difference in the quote you receive prior to or at the time you place the order and the execution price you receive.
E trade securities brokerage customer agreement format, "limit orders" may provide some price protection in a Fast Market, but there is a risk that your order may go unexecuted if the market price does not reach your limit order price. Customer understands and agrees that, if an order cannot be cancelled or modified, Customer is bound by the execution of the original order. Customer further acknowledges that attempts to modify or cancel and replace an order may result in an over-execution of the order, or the execution of duplicate orders, and Customer shall be responsible for all such executions.
You understand and agree that prior Customer or proprietary orders, as well as prior proprietary orders of AUB or its Affiliates, will be represented for execution before subsequently transmitted Customer orders for the same securities which could be executed at the same price. In other words, all orders shall be executed on a "first come, first served" basis. AUB generally engages in proprietary trading only to e trade securities brokerage customer agreement format errors, or in connection with authorized adjustments of Customer orders or accounts e.
Protections built into AUB's automated order routing system assure that, when a Customer order is entered into the AUB system and transmitted for execution, the identity of AUB's Customer is anonymous.
Further, you understand that AUB has the full discretion to provide an order-by-order best execution order routing option whereby the AUB System attempts to seek the best available terms for a Customer's order. AUB cannot and does not warrant or guarantee that every Customer order will be executed at the best posted price. Among other things, AUB may not have access to every market at which a particular product may trade; other orders may trade ahead of Customer's order and exhaust available volume at a posted price; exchanges or market makers may fail to honor their posted prices; exchanges may re-route customer orders out of automated execution systems for manual handling in e trade securities brokerage customer agreement format case execution or representation of Customer's order may be substantially delayed ; or exchange rules, policies, procedures or decisions or systems delays or failures may prevent Customer's order from being executed, may cause a delay in the execution of Customer's order or may cause Customer's order not to be executed at the best posted price.
Neither we nor our officers, directors, employees or brokers, Affiliates or Third Party Providers will be deemed to have received any instruction or order given by you until we have actual knowledge of such instruction or order and its content. Further, AUB has the discretion to levy such additional charges for any such off line order as decided by AUB from time to time.
You understand that AUB may at any time, in its sole discretion and with reasonable justification, without prior notice to you, decline your instruction or order, terminate this Agreement or prohibit or restrict your ability to trade particular Property in your Account or other securities or products or the types of trade orders you may place. We will not be liable for any losses, lost opportunities or increased commissions that may result from your being unable to trade these securities or products or place certain types of trade orders through the AUB Service or from the termination of this Agreement or the closure of your Account.
No Investment, Tax or Trading Advice: Neither AUB nor the Third Party Providers guarantee the accuracy, timeliness, or completeness of any such Information, and Customer should conduct further research and analysis or consult an investment advisor before making investment decisions.
Any investment decisions you make shall be based solely on your own evaluation of your financial circumstances and investment objectives. The Information is the property of AUB, the Providers or their licensors and is protected by applicable copyright law. Customer agrees not to reproduce, re-transmit, disseminate, sell, distribute, publish, broadcast, circulate or commercially exploit the Information in any manner without the express written consent of AUB.
AUB reserves the right to terminate access to the Information. Links to outside websites are provided for the convenience of Customers and website visitors only and do not constitute a recommendation by AUB or a solicitation of any offer to buy or sell any securities, options, futures or other investment products.
Such links lead to third-party websites that are independent of AUB, and AUB does not guarantee or warrant the accuracy, timeliness or completeness e trade securities brokerage customer agreement format any information provided on such websites.
E trade securities brokerage customer agreement format also agree to hold harmless and indemnify us, our Third Party Providers and Affiliates against any liability, costs or damages arising out of or otherwise involving claims by you, any other Account Holders or any third party which are related to any such authorized or unauthorized use. Agreement s with Third Party Providers: You acknowledge and agree that access to Third Party Provider Services may be terminated immediately in the event that the agreement between AUB and the relevant Third Party Provider is terminated, whether directly or indirectly.
Registered Holder and Voting Rights: AUB shall have the sole and exclusive e trade securities brokerage customer agreement format to exercise the voting rights attendant to any such securities, in its sole discretion, in any of the meetings, which may be convened, or for any resolutions proposed with respect to any such securities. You expressly waive any right of proxy. You will not be notified in respect of any vote unless it involves an offer to buy where more funds are required to participate.
Votes for corporate actions such as bonuses, splits, mergers, subscriptions, and offers to buy will generally be affirmative and any resulting fractional shares shall be rounded to the nearest lower unit and accordingly the relevant Account s will be credited with the equivalent value of any such fractional share. No physical share certificates: AUB shall not entertain any requests whatsoever from the Customers for issue of physical share certificates relating to their investments.
AUB does not guarantee the execution of such transfers, if it has acted on the Customer's instruction, in the event of any failure on the part of any AUB Executing Broker, clearing agent or the counter party in effecting the transfer. AUB has the discretion to levy such additional charges for such transfers as decided by AUB from time to time. In such cases, Customer represents that such funds belong to Customer and that Customer has directed that such funds be deposited into Customer's Account.
Customer represents that no third parties have beneficial ownership of funds in Customer's account and that Customer is not trading on behalf of third parties unless Customer has notified AUB in writing to the contrary and provided that Customer has represented that it is properly registered and authorized under applicable laws and regulations to conduct such trading on behalf of third parties.
Customer represents that all funds deposited into Customer's Account shall be for the purpose of trading securities and other investment products provided from time to time by AUB. All funds relating to the sale of securities and the dividends net of withholding tax due to the Customer shall be credited to your account only upon receipt of confirmation from the Executing Broker.
In order to comply with applicable United States laws and regulations, taxes at prevailing rates will be withheld by the Executing Broker on all dividend income with respect to the securities held by the Customer, regardless of the nationality of the Customer. Since AUB is the registered holder of all such securities, no Account Holder will be able to obtain refunds of any such taxes withheld. Outward Transfer of Funds: AUB reserves the right to change the interest rates as and when it sees fit.
However, any such interest will credited to the Customer's Account only on a quarterly basis. Estimates Information on estimates resulting from corporate actions viz.
Customer agrees that the actual figures may vary from the estimates posted and the Customer will not be able to utilize those resources until such time the actual receipts are confirmed by the Executing Broker. The assets of your Account are held by the Executing Broker, Salomon Smith Barney SSBin its name, and all such assets are automatically protected by insurance with no charge to you for such insurance for the physical loss of assets in the unlikely event that SSB undergoes a forced liquidation.
The assets of all Alawasat. Risks Associated with System Failure: Trading through an electronic e trade securities brokerage customer agreement format or order routing system exposes you to risks associated with System or component failure.
In the event of System or component failure, it is possible that, for a certain time period, you may not be able to enter new orders, execute existing orders, e trade securities brokerage customer agreement format modify or cancel orders that were previously entered.
System or component failure may also result in loss of orders or order priority. Electronic or computer-based facilities and systems such as those used by E trade securities brokerage customer agreement format are inherently vulnerable to disruption or failure and may be unavailable to Customer from time to time.
To the extent that Customer or AUB uses Internet services to transport data or communications, AUB disclaims any liability for interception of any such data or communications. AUB is not responsible, and makes no warranties regarding, the access, speed, availability or security of any Internet service.
You understand and agree that we exchange personal and credit information about you with certain government bodies and other third parties with a statutory entitlement to such information, including e trade securities brokerage customer agreement format Affiliates, for verification purposes including verifying your identity, for the purposes of determining whether we want to open an Account for you and, if so, under what financial terms and conditions, and to comply with certain government and regulatory requirements, such as regulations about money laundering, international boycott and transactions with specially designated nationals.
You also authorize us, in this connection, to contact such financial institutions including our Affiliates and to employ such reporting agencies as we e trade securities brokerage customer agreement format appropriate.
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