Excess SIPC Application. London Customer Insurance Application (US)
|
|
- Dorcas Johnson
- 5 years ago
- Views:
Transcription
1 Excess SIPC Application London Customer Insurance Application (US) (Please Type or Print in Ink) Check one Init ial Renewal Dat e. A. Legal Name and address.,.. Dat e est ablished.. B. Customer Net Equities (CNE) : Tot al $. As of. (Dat e) 1 (Add equit ies in each cust omer cash or margin account. Neglect unpriced securit ies, but foot not e if believed t o be over 5% of priced t ot al. Include account s carried on disclosed basis for correspondent s. 2 At t ach dist ribut ion t able of number of account s over $500,000 in increment s of $100,000, i.e. $500,000 - $600,000, $600,000 - $700,000, et c. Do not bunch high level account s. 3 Number of Act ive Cust omer Account s (per last quart erly st at ement ).. 4 Number of Cust omer Account s wit h equit y above $500,000:.. 5 Number of Disclosed Account Correspondent s.. C. Financials, 2+ years: FY ended. FY ended Current FYTD. From FOCUS Tot al Capit al (line 3530) Net Capit al (line3750) Excess Net Capit al (line 3770 or 3910) Capit al Rat io (line 3780 or 3851) FY P&L aft er t ax Submit 1 Lat est FOCUS Report 2 For init ial applicat ions, submit t wo most recent Audit ed Financial Report s, wit h Account ant 's Comment Let t er t o Management, if any. For renewal applicat ion, most recent only. D. Firm Operations: 1 % of cust omer business: equit ies %, bonds %, government s %, mut ual funds %. Cust omer base: Inst it ut ional %, Ret ail %. Int ernet. % Discount. % No. Discret ionary and Managed Account s. 2 Market maker?. size $. 3 Repo mat ched book? size $. 4 St ock Loan mat ched book? size $. 5 No. employees producers, operat ions. No. Branches. 6 At t ach descript ion of any day t radiing, market making or int ernet on line t rading facilit y by your firm or disclosed account int roducing correspondent s wit h descript ion of relat ed risk cont rols. 1
2 E. Broker's Blanket Bond: Underwrit er. Size $ Deduct ible $.. (At t ach descript ion of any claims paid or made during t he past t wo years.) 2
3 F. Submit the following other information: 1 Examiner's report s of past t wo years for original applicat ions, past year for renewals. Include firm's reply if any. Not e any examinat ion for which report is not yet received. Supply exit int erview not es. 2 Descript ion of any significant change in t he firm's business during t he past year. Explain any capit al or cont rols relat ed t o such business added. 3 If firm is a unit in a corporat e family, Organizat ion Chart of Cont rolling Persons, showing capit al int erest and cont rol percent age of parent s. Include annual report or similar informat ion on ent it y cont rolling t he group wit h financial st at ement. For firms not unit s in a corporat e family, indicat e cont rolling persons. 4 Descript ion, explanat ion, and relat ed regulat ory correspondence of regulat ory violat ions or deficiencies (ot her t han t hose in submit t ed examiners report s), disciplinary act ions t aken or pending against t he firm or it s principals, special clearing corporat ion requirement s, et c. Check here if t here were none. 5 For original applicat ions, submit names and securit ies indust ry backgrounds of Principal Officers, especially CEO and CFO. For renewals, submit such informat ion on changes during past year. G. Customer insurance quotation requested: 1 Combined ret urn per eligible cust omer from Trust ee, SIPC and London of $. million. Aggregat e limit by London $. million. Cover Securit ies Only.. or Cash and Securit ies.. 2 For cover of individual account s, SIPC ineligible account s, net free credit balances, sub mit descript ion of account (s), size, insurance desired. 3 For cover purchased by an int roducer t o assist it s cust omers carried by anot her firm, complet e Supplement on Page 3. H. Agreement [ check designat ed regulat or(s)] The designat ed regulat or(s) of t he applicant is/ are t he New York St ock Exchange and/ or Nat ional Associat ion of Securit ies Dealers. The applicant hereby applies for quot at ion of cust omer insurance supplement ing SIPC coverage by Syndicat es at Lloyd's of London and ot her Br it ish companies. This paragraph aut horizes t he st aff of t he NASD, NYSE or SIPC t o discuss wit h t he agent of t he Underwrit ers, Robert M. Bishop, or ot her agent as may be appoint ed from t ime t o t ime, t heir percept ion of our financial responsibiilit y, operat ing st at us, rule compliance, and management, and t o read relevant document s from t heir files, all supplement ing report s and informat ion we have furnished t o t he Underwrit ers, and t o verify t he informat ion we have furnished as part of our applicat ion for Cust omer Insurance. The informat ion disclosed in t his applicat ion will be held in confidence by t he Underwrit ers and t heir agent s..... Legal Name of Applicant Signature of Officer or Partner ( ). ( )... Telephone Fax Printed name & title of Signer 3
4 SIGNING OF THIS FORM DOES NOT BIND THE APPLICANT OR THE UNDERWRITERS TO COMPLETE THIS INSURANCE 4
5 Supplement to London Customer Insurance Application (US) For firms which introduce on a disclosed basis to another firm some or all customer accounts A. Legal Name., Dat e. B. Do not complet e Sect ion B on Page 1 of Applicat ion. Inst ead complet e following: Self-carried Customer Net Equities (CNE) : Tot al $. As of. (Dat e) Introduced Customer Net Equities: Tot al $. As of. (Dat e) 1 (Separat ely for self-carried and int roduced account s, add equit ies in all cust omer cash or margin account s. Neglect unpriced securit ies, but foot not e if believed t o be over 5% of priced t ot al). 2 Separat ely for self-carried and int roduced account s, at t ach dist ribut ion t able of number of account s over $500,000 in increment s of $100,000, i.e. $500,000 - $600,000, $600,000 - $700,000 et c. Do not bunch high level account s. 3 Act ive Cust omer Account s (per last quart erly st at ement ) Self.. Int roduced.. 4 Cust omer Account s wit h equit y above $500,000: Self.. Int roduced.. 5 Submit names of firms t o which cust omer account s are int roduced on a disclosed basis. For each, submit t heir t ot al cust omer net equit y and a recent public financial st at ement or capit al comput at ion pages of t heir FOCUS report. G. Do not complet e Sect ion G on Page 2 of Applicat ion. Inst ead complet e following: Customer insurance quotation requested: For self carried accounts only, for introduced accounts only, for both Cover for Securities only or for both Securities and Cash. 1 Combined ret urn per eligible cust omer from Trust ee, SIPC and London of $. million. Aggregat e limit by London $. million 2 For cover of individual account s, SIPC ineligible account s, net free credit balances, submit descript ion of account (s), size, insurance desired. 5
The By-Laws of t he HSC Brooklyn Chapt er Unit ed Universit y Professions
The By-Laws of t he HSC Brooklyn Chapt er Unit ed Universit y Professions Art icle 1: - Name The name of t his organizat ion shall be t he Healt h Science Cent er at Brooklyn Chapt er of Unit ed Universit
More informationMarch Saving made simple. yhousing.co.uk
March 20 18 Saving made simple It doesn't have t o be t his way: Wit h a Credit Union on your side you?ll have t he peace of mind of being in cont rol of your money. You can access a range of current and
More information110 Swiss Re 2011 Financial Report
110 Swiss Re 2011 Financial Report Financial statements / Introduction Financial statements 113 Group financial statements 113 Income statement 114 Balance sheet 116 Statement of shareholders equity 117
More informationSHOULD WE RETIRE SOCIAL SECURITY? Gr a d i n g t h e Re f o r m
PP 06-11, aaron 5/26/99 9:03 AM Page 6 SHOULD WE RETIRE SOCIAL SECURITY? Gr a d i n g t h e Re f o r m B Y H E N R Y J. A A R O N A N D R O B E R T D. R E I S C H A U E R Most Americans underst and t hat
More informationLEGAL COMPLIANCE MANUAL DEPOSITORIES OF PUBLIC FUNDS AND PUBLIC INVESTMENTS
LEGAL COMPLIANCE MANUAL DEPOSITORIES OF PUBLIC FUNDS AND PUBLIC INVESTMENTS Introduction A government entity that receives and disburses funds may deposit the funds only in financial institutions designated
More informationTHE ASIAN FINANCIAL CRISIS
LAST YEAR S DRAMATIC ASIAN EXCHANGE RATE COLLAPSES hav e int ensifi ed ef f ort s t o underst and and cont rol t he f orces behind such crises. Unt il recent ly economist s blamed currency crises on dist
More informationArtist Management Companies in Delhi, India
Artist Management Companies in Delhi, India Being a f ull-service advert ising agency and event management company, we reckon how critical as well as hectic managing event schedules can be when carried
More informationLEGAL COMPLIANCE MANUAL CONTRACTING - BID LAWS
LEGAL COMPLIANCE MANUAL Introduction A municipality entering int o an agreement for the sale or purchase of supplies, materials, equipment or the rental thereof, or the construction, alteration, repair
More informationThe sm all Oregon-Washingt on credit union uses int ernal efficiencies t o hit new height s
Cust om er Pacific Northwest Ironworkers FCU CEO Terri Robinson Locat ion Portland, Oregon Asset s $22.1M Mem bers 5,500 Branches 3 FLEX Int egrat ions Online Banking Mobile Banking Remote Deposit Capture
More informationMergers & Acquisition
Mergers & Acquisition Account ing Implicat ions under IND AS 1 April 2017 Contents # Topic 1 M&A Deals : Changing Landscape 2 Mergers & Acquisitions 3 Common Control Transactions 4 Demerger/Buy back/capital
More informationEika Boligkreditt AS. Interim report for the fourth quarter Unaudited
Interim report for the fourth quarter 2013 Unaudited HIGHLIGHTS Fourth quarter 2013 A negative change of NOK 118.5 million in the valuation of derivatives is reflected in the accounts. The effects over
More informationFidelity Advisor 529 Plan
Fidelity dvisor 529 Plan Daily Pricing Returns - ll Share Class Units of the Portfolio are municipal securities and may be subject to market volatility and fluctuation. Current performance may be higher
More informationTHE GBC GROWTH AND INCOME FUND
ANNUAL MANAGEMENT REPORT OF FUND PERFORMANCE DECEMBER 31, 2018 INCEPTION DATE NOVEMBER 1, 2006 THE PORTFOLIO MANAGMENT TEAM PEMBROKE MANAGEMENT LTD. This annual Management Report of Fund Performance contains
More informationNATIONAL PRIORITIES GROWING AMERICAN INEQUALITY. S o u r c e s a n d Re m e d i e s
NATIONAL PRIORITIES GROWING AMERICAN INEQUALITY S o u r c e s a n d Re m e d i e s B Y GA RY B U RT L ESS Over t he past t wo decades t he Unit ed St at es has experienced a st art ling increase in inequalit
More informationRAPALA VMC CORPORATION HIGHLIGHTS. February 16, 2018
RAPALA VMC CORPORATION HIGHLIGHTS February 16, 2018 2 RAPALA PIKE LURE LAUNCH Great success in testing Re-entry into the big pike category Launched in January in France at the Clermont-Ferrand Show Supported
More informationC O M PA N I E S C O M PA R I S I O N
C O M PA N I E S C O M PA R I S I O N S O C I E D A D E J E M P L O S A S O C I E D A D E J E M P L O S L 1 3 / 0 9 / 2 0 1 7 +34 902 599 222 Paseo de la Castellana 95. Pl 16. 28046 Madrid www.infoempresa.com
More informationOut. of t he Ashes? Sout heast Asia s St ruggle t hrough Crisis B Y S T E P H E N P A R K E R
Out of t he Ashes? Sout heast Asia s St ruggle t hrough Crisis B Y S T E P H E N P A R K E R The Sout heast Asian count ries o f Th ai l a n d, In d o n e s i a, Malay sia, t he Philippines, and Singapor
More informationApplication received by: Signature:
Application for Employment City of Converse ( the City ) An Equal Opportunity Employer The City is an equal opportunity employer and does not discriminate on the basis of race, color, national origin,
More informationOFFICE OF THE STATE AUDITOR. M innesota Legal Compliance Audit Guide for Local Government
OFFICE OF THE STATE AUDITOR M innesota Legal Compliance Audit Guide for Local Government ORDER Pursuant to Minn. Stat. 6.65, I hereby prescribe the form and scope of the Minnesota Legal Compliance Audit
More informationExpand Your Financial Planning Practice Through Your Clients Tax Return. AICPA Advanced Personal Financial Planning Conference
Expand Your Financial Planning Practice Through Your Clients Tax Return AICPA Advanced Personal Financial Planning Conference Speakers: Lyle K. Benson, Jr. CPA/PFS, CFP Glenn S. Freed, CPA/PFS 1 Why use
More informationThere is no legal debt limit for counties in Virginia since the issuance of all county general obligation debt is subject to referendum.
DEBT MANAGEMENT DEBT MANAGEMENT AND POLICIES Pursuant to the Constitution of Virginia and the Public Finance Act, the County is authorized to issue general obligation bonds secured by a pledge of its full
More information2016 Matthews International Corporation. All Rights Reserved. INVESTOR PRESENTATION 1 st QUARTER FISCAL 2018
INVESTOR PRESENTATION 1 st QUARTER FISCAL 2018 Business Overview 2 Disclaimer Any forward-looking statements with respect to Matthews International Corporation (the Company ) in connection with this presentation
More information2016 Matthews International Corporation. All Rights Reserved. INVESTOR PRESENTATION FISCAL YEAR ENDED SEPTEMBER 30, 2018
INVESTOR PRESENTATION FISCAL YEAR ENDED SEPTEMBER 30, 2018 Business Overview 2 Disclaimer Any forward-looking statements with respect to Matthews International Corporation (the Company ) in connection
More informationCreative Retirement Plan Designs & Mining for Prospects 2018 Tony Panagiotu, Attorney, CPA President Panagiotu Pension Advisors, Inc.
Creative Retirement Plan Designs & Mining for Prospects 2018 Tony Panagiotu, Attorney, CPA President Panagiotu Pension Advisors, Inc. WHAT IS THE GOAL OF YOUR COMPANY S RETIREMENT PLAN? Recruitment Retention
More informationANNUAL REPORT
20 th ANNUAL REPORT 201415 PASUPATI FINCAP LIM ITED CINL65910HR1996PLC033099 Regd. Office: Village Kapriwas (Dharuhera) Distt. Rewari, Haryana Head Office: 127128, Tribhuvan Complex, Ishwar Nagar, New
More information19 th Annual B. Riley FBR Investor Conference May 23, 2018
19 th Annual B. Riley FBR Investor Conference May 23, 2018 Joseph C. Bartolacci President and Chief Executive Officer Steven F. Nicola Chief Financial Officer 2018 Matthews International Corporation. All
More informationAppollo Ispat Complex Ltd.
2016 Credit Rating Report (Surveillance) CRAB I CRAB Ratings on Corporate Credit Digest I 12 May 2017 Page 1 of 5 Particulars Ratings Remarks BDT 2,734.0 Million Long-term Outstanding BDT 190.0 Million
More informationApex Clearing Corporation
Statement of Financial Condition and Supplemental Schedules For the year ended With Report of Independent Registered Public Accounting Firm Apex Clearing Corporation is a member of FINRA, Securities Investor
More informationThe Craf T RIGHTATTHECENTEROFITALL
OCTOBER 2015 The Craf T RIGHTATTHECENTEROFITALL We are t hrilled t o announce t hat t he Cent er f or Teachings new space is open! We are locat ed on t he 2nd f loor of dupont Library. Sewanee f acult
More informationAGREEMENT NO. 2 OF 2003
AGREEMENT NO. 2 OF 2003 COLLECTIVE AGREEMENT ON DISPUTE RESOLUTION LEVY AND REGISTRATION OF EMPLOYERS IN THE CHEMICAL INDUSTRY 1. SCOPE OF APPLICATION OF THIS AGREEMENT The terms of this Agreement shall
More informationQ4 18: Net Sales +3%; Organic Sales +1%; Diluted Net EPS $0.72, -12%; Core EPS $0.94, +11%
Published on P&G News Events, Multimedia, Public Relations (https://news.pg.com) on July 31, 2018-7:00am P&G Announces Fourth Quarter and Fiscal Year 2018 Results Release Date: Tuesday, July 31, 2018 7:00
More informationDFW Airport Board FY 2006 Proposed Budget Presented to the Owner Cities
DFW Airport Board FY 2006 Proposed Budget Presented to the Owner Cities August 2005 1 FY 2006 Proposed Budget Overview Agenda Background Impact of CDP and Other Cost Drivers 102 Fund Revenue and Expense
More informationAgenda. The Argentine Economy. The Argentine Financial System. Banco Galicia
May 28 Agenda The Argentine Economy The Argentine Financial System Banco Galicia 2 The Argentine Economy 3 GDP % Change In millions of Pesos Economic Activity 12% 4, 9% 8.1% 8.8% 9.% 9.1% 8.5% 8.7% 7.5%
More informationFor personal use only
Lawson Gold Ltd ABN 32 141 804 104 Interim Financial Report for the half year ended 31 December 2011 This information should be read in conjunction with the 30 June 2011 annual report. 1 Lawson Gold Ltd
More informationAnnex Portugal (Effective as of ) (version )
( 01 03 2019) (version 31.10.2018) MTS Portugal is a segment of the MTS Cash Domestic Market Multilateral Trading Facility operated by MTS S.p.A. 1. General Provisions 1.1. Definitions 1. The MTS Cash
More informationNYSE American LLC. Short Form Application
NYSE American LLC Short Form Application NYSE American Short Form Membership Application and Agreement To qualify for Short Form Membership on NYSE American, the applicant must be an approved New York
More informationEnterprise Risk Management for Captives and their Parent Organizations
Enterprise Risk Management for Captives and their Parent Organizations Robert J. Walling III, FCAS, MAAA, CERA Principal and Consulting Actuary, Pinnacle Actuarial Resources Barry Franklin SVP & Chief
More informationof automatic bill pay. Never miss a payment, and keep your coverage active. ~,~~ KAISER
of automatic bill pay. Never miss a payment, and keep your coverage active. ~,~~ KAISER PERMANENTE@ What is automatic premium bill payment? Automatic premium bill payment (AutoPay) is a simple and secure
More informationFiction or Fact: Systematic Gender Differences in Financial investments?
Fiction or Fact: Systematic Gender Differences in Financial investments? H O U S E H O L D F I N A N C E A N D M A C R O E C O N O M I C S C O N F E R E N C E B A N C O D E E S P A Ñ A, O C O T B E R 1
More informationOR D ER FOR SUPPLIES OR SER VICES
OR D ER FOR SUPPLIES OR SER VICES P AGE 1 OF 8 1. CO N TRA CT/P U RCH. O RD E R/ A G RE E M E N T N O. N00033-11-D-6505 2. D E L IVE RY O RD E R/ CA L L N O. 3. D A TE O F O RD E R/CA L L ( YYYYM M M D
More informationAPEX CUSTOMER CUSTODIAN ACCOUNT AGREEMENT
APEX CUSTOMER CUSTODIAN ACCOUNT AGREEMENT This Customer Account Agreement (the Agreement ) sets forth the respective rights and obligations of Apex Clearing Corporation ( Apex ) and the Customer identified
More informationNew York Stock Exchange LLC ( NYSE ) and/or NYSE American LLC ( NYSE American )
New York Stock Exchange LLC ( NYSE ) and/or NYSE American LLC ( NYSE American ) Application for NYSE and/or NYSE American 1 Membership for FINRA Members ( Application ) A registered broker or dealer that
More informationNew Account Application. Direct Communication Rule 14b-1(c) W-9 Certification. Signatures
New Account Application I (We) would like to open a brokerage account with you ( my broker ). I understand that you have designated Apex Clearing Corporation ( Clearing Firm ) as your clearing firm. Direct
More informationNYSE Arca Options. Options Trading Permit ( OTP ) Short Form Application
NYSE Arca Options Options Trading Permit ( OTP ) Short Form Application NYSE Arca ( the Exchange ) Short Form OTP Membership Application and Agreement To qualify for Short Form OTP Membership on NYSE Arca,
More informationBeazley Remedy Renewal Regulatory Liability Application
Beazley Remedy Renewal Regulatory Liability Application THE APPLICABLE LIMITS OF LIABILITY AND ARE SUBJECT TO THE RETENTIONS. PLEASE READ THIS POLICY CAREFULLY. Please fully answer all questions and submit
More informationType of Membership. Member Name. Home Address. Phone_( ) Date of Birth / / Fax _( ) Social Security No. - - Company Name. Address. Phone_( ) Position
Membership Application Type of Membership Member Name Home Address Phone_( ) Date of Birth / / Fax _( ) Social Security No. - - Business Address: Company Name Address Phone_( ) Position Fax _( ) E-Mail
More informationQuarterly financial report. Third quarter of 2015
Quarterly financial report Third quarter of 2015 1 Key figures 3 Summary of the quarter 4 Performance review 5 Macroeconomic environment 5 Income statement 7 Balance sheet 13 Risk and capital management
More informationNew York Stock Exchange LLC ( NYSE ) and/or NYSE American LLC ( NYSE American )
New York Stock Exchange LLC ( NYSE ) and/or NYSE American LLC ( NYSE American ) Application for NYSE and/or NYSE American 1 Membership for Non-FINRA Members ( Application ) A registered broker or dealer
More informationPIMS Customer Agreement for After Tax Accounts
PIMS Customer Agreement for After Tax Accounts PIMS ( Prudential Investment Management Services LLC ) Member FINRA/SIPC In consideration of Prudential Investment Management Services LLC ("PIMS") opening
More informationNotice to Members. Business Expansions. Executive Summary. Questions/Further Information. Background and Discussion
Notice to Members OCTOBER 2006 SUGGESTED ROUTING Legal and Compliance Operations Senior Management GUIDANCE Business Expansions SEC Approves Amendments to the Safe Harbor for Business Expansions; Effective
More informationPIMS Customer Agreement for After Tax Accounts
PIMS Customer Agreement for After Tax Accounts PIMS ( Prudential Investment Management Services LLC ) Member FINRA/SIPC In consideration of Prudential Investment Management Services LLC ("PIMS") opening
More informationUsi ng the New Webshop
Usi ng the New Webshop Our new Webshop i s simpl e to use, many of the processes are exactly the sa me as the ol d one, thi ngs j ust l ook a littl e different Thi s gui de is here to wal k you through
More informationLesson s 3.2 An al yzi n g an d Com par i n g St at i st i cal Gr aph s WARM- UP
Nam e: Dat e: Lesson s 3.2 An al yzi n g an d Com par i n g St at i st i cal Gr aph s WARM- UP 1. Place the point on the number line that corresponds to each given value. A. 2 B. -28 C. 17.5 D. 40 E. -8
More informationForm GSTR-2 [See rule 60(1)] Details of inward supplies of goods or services
Form GSTR-2 [See rule 60(1)] Details inward supplies goods or services Year Month 1. GSTI 2. (a) Legal name the registered person Auto populated (b) Trade name, if any Auto populated 3. Inward supplies
More informationAccounting and auditing standards update
Accounting and auditing standards update September 12, 2017 With you today Lon R. Freeman Audit Senior Manager Tel: +1 801 380 0210 lrfreeman@kpmg.com Lon is an Audit Senior Manager in KPMG s Power and
More informationFINDINGS OF FACTS AND VIOLATIONS. Background and Jurisdiction
NYSE ARCA, INC. FINRA DEPARTMENT OF MARKET REGULATION, Complainant, FINRA Proceeding No. 20140430990 1 v. JUMP TRADING, LLC October 28, 2016 Respondent. Respondent violated: (1) Reg NMS Rule 611(c) and
More informationM&L WORLDWIDE LOGISTICS (Grantee)
(1) Check appropriate box: CUSTOMS POWER OF ATTORNEY LLC Individual General Partnership Limited Partnership Corporation Sole Proprietorship (2) EIN / SS Number: (3) Importer Account Number(s): (4) Know
More informationCONTENTS 1 INTRODUCTION
CONTENTS 1 Introduction... 2 2 Company structure and operations... 3 3 Capital adequacy standards... 4 Pillar 1... 5 Pillar 2... 5 Pillar 3... 6 Recovery plan with capital measures... 6 4 Overall risk
More informationI. The Primary Market
University of California, Merced ECO 163-Economics of Investments Chapter 3 Lecture otes Professor Jason Lee I. The Primary Market A. Introduction Definition: The primary market is the market where new
More informationTHE. NASDAQ STOC1C MARKET LLC LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO
THE. NASDAQ STOC1C MARKET LLC LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016051141801 TO: RE: The NASDAQ Stock Market LLC do Department of Enforcement Financial industry Regulatory Authority ("FINRA")
More informationFacts about your HSA. Your money works for you. W hat is a Healt h Savings Account (HSA)? W hat is a Qualif ied Hig h Deduct ible Healt h Plan (HDHP)?
Facts about your HSA Your money works for you. W hat is a Healt h Savings Account (HSA)? A Health Savings Account is a special account used w ith a qualif ied Hig h Deductible Health Plan. HSAs offer you
More informationCasa Lunes - Sumikawa, Sapporo 130,000,000
Casa Lunes - Sumikawa, Sapporo Casa Lunes - Sumikawa, Sapporo 130,000,000 Great Investment! High Yield Property! Monthly Cash Flow of 391,086 Access: 8 minute walk to Sumikawa Station Only a 20 minute
More informationNASDAQ ISE, LLC Membership Application Form
NASDAQ ISE, LLC Membership Application Form An applicant for membership on the NASDAQ ISE, LLC ( GEMX or Exchange ) must complete this Membership Application Form, including Exhibits A and B. Completed
More informationERISA Trading Training. London, 4 July 2016 CompliGlobe Ltd.
ERISA Trading Training London, 4 July 2016 CompliGlobe Ltd. What is ERISA? U.S. federal law that protects the interests of participants in certain employee benefit plans Standards governing the conduct
More informationAMB SMALLCAP TRUST FUND INTERIM REPORT. Manager s Report Trustee s Report 13. Statement by Manager 14. Auditors Report 15-18
AMB SMALLCAP TRUST FUND INTERIM REPORT For the Six-Month Period Ended 31 January 2018 Contents Page Manager s Report 2-12 Trustee s Report 13 Statement by Manager 14 Auditors Report 15-18 Statement of
More informationDefinition of non-performing, impaired (IAS 39) and past-due exposures
Qualitative disclosure Definition of non-performing, impaired (IAS 39) and past-due exposures With effective date 1 January 2015, the Bank of Italy revised the classification criteria for non-performing
More informationAPPENDIX A SUMMARY OF OBLIGATIONS OF MARKETPLACES AND PERSONS WITH ACCESS
APPENDIX A SUMMARY OF OBLIGATIONS OF MARKETPLACES AND PERSONS WITH ACCESS UMIR Part 1 Definitions and Interpretation 1.1 Definitions definition of terms used in the rules and any policy 1.2 Interpretation
More information373 S. High St., 20 th Floor, Columbus, Ohio
REAL ESTATE Dear Applicant, The following information is necessary in completing your application for the tax incentive program but is not meant as legal advice. Please contact an attorney for legal advice.
More informationDear Invest or, On this note wishing everyone a prosperous new financial year!!!
Dear Invest or, In a relief from the trend of the past few months, the key equity indices, SENSEX and Nifty, bounced back 1,621 and 500 points respectively, closing the month at 9.10% and 9.38%. All the
More informationSignature Advantage Banking SM
Signature Advantage Banking SM Total Deposit Balance Total Relationship Balance (includes loans) $25,000 or more OR $50,000 or more OR $500,000 or more None $24,999.99 or less AND $49,999.99 or less AND
More informationSPE Pr oduct i on Backbone Updat e Sony Pi ct ur es Ent er t ai nment
SPE Pr oduct i on Backbone Updat e 2010. 3. 1 Sony Pi ct ur es Ent er t ai nment SPE Pr oduct i on Backbone ( PBB) St at us Phase 1 Pr oof of concept c ompl e t e Basi c conf i gur at i on: Di sk st or
More informationCross-Border Securities Activities Under SEC Rule 15a-6
Cross-Border Securities Activities Under SEC Rule 15a-6 Kathy H. Rocklen Benjamin J. Catalano February 2017 Jurisdictional Issues The U.S. securities laws apply to broker-dealer activities in interstate
More informationSEC RULE 10b-10(a)(2)(i)(D) AND RULE 11Ac1-3 - PAYMENT FOR ORDER FLOW
Avisen Securities, Inc. (Avisen Securities) is a Financial Industry Regulatory Authority (FINRA) registered securities broker-dealer. This web site is published in the United States for residents of the
More information3Q 2017 RESULTS PRESENTATION
Comisión Delegada, 24 de Junio de 2016 3Q 2017 RESULTS PRESENTATION Madrid, November 15 th 2017 Disclaimer The information contained in this presentation has not been independently verified and is, in
More informationPembroke 4000 PROPOSAL FORM FOR DIRECTORS & OFFICERS LIABILITY INSURANCE
Pembroke 4000 PROPOSAL FORM FOR DIRECTORS & OFFICERS LIABILITY INSURANCE 1. The answers to this form preferably should be typed, or alternatively this form may be completed in ink. The form must be signed
More informationNON-DEPARTMENTAL. FY 18 Adopted Non-Departmental Budget $170,733,498 NONDEPARTMENTAL FY 16 FY 17 FY 17 FY 18 FY 18 FY 18
NON-DEPARTMENTAL FY 18 Adopted Non-Departmental Budget $170,733,498 NONDEPARTMENTAL FY 16 FY 17 FY 17 FY 18 FY 18 FY 18 18 ADP - 17 ADP ACTUAL ADOPTED PROJECTED REQUEST RECOMM ADOPTED $ Change % Change
More informationMISCELLANEOUS SERVICES
MISCELLANEOUS SERVICES PROFESSIONAL PLUS + LIABILITY FULL APPLICATION Return Applications To: Fox Point Programs 3001 Philadelphia Pike Claymont, DE 19703 800-499-7242 / Fax: 844-274-12535 siaasales@foxpointprg.com
More informationPresentation to Analysts. April 2014
Presentation to Analysts April 2014 Genesis 1964-1976 1994-00 2003-06 2007-14 Set up by an Act of Parliament in 1964 as a subsidiary of the Central Bank (RBI) Ownership transferred to Govt. in 1976 IDBI
More informationREAL ESTATE SERVICES PROFESSIONAL LIABILITY INSURANCE APPLICATION
Underwritten by certain underwriters at Lloyd s REAL ESTATE SERVICES PROFESSIONAL LIABILITY INSURANCE APPLICATION 1. a. Name and address of Applicant: (include all legal names and DBA's) Name(s) Principal
More informationVerisign Reports 12% Year-Over-Year Revenue Growth in First Quarter 2011 Company Declares $2.75 Per Share Special Dividend
Verisign Reports 12% Year-Over-Year Revenue Growth in First Quarter 2011 Company Declares $2.75 Per Share Special Dividend DULLES, VA April 28, 2011 VeriSign, Inc. (NASDAQ: VRSN), the trusted provider
More informationProtection of Public Deposits
Protection of Public Deposits Connecticut Government Finance Officers Association Quarterly Meeting February 5, 2009 Rocky Hill Marriott Tony Conway, Assistant Director, Department of Banking Agenda Introduction
More informationTransition delivers streamlined and strengthened portfolio and operations
ABB LTD, ZURICH, SWITZERLAND, FEBRUARY 8, 2018, FULL-YEAR AND Q4 2017 RESULTS Positioned for profitable growth Transition delivers streamlined and strengthened portfolio and operations Ulrich Spiesshofer,
More informationCUSTOMER ACCOUNT AGREEMENT
CUSTOMER ACCOUNT AGREEMENT This Customer Account Agreement (the Agreement ) sets forth the respective rights and obligations of Apex Clearing Corporation ( you or your or Apex ) and the Customer s (as
More informationBeazley Remedy New Business Regulatory Liability Application
Beazley Remedy New Business Regulatory Liability Application THE APPLICABLE LIMITS OF LIABILITY AND ARE SUBJECT TO THE RETENTIONS. PLEASE READ THIS POLICY CAREFULLY. Please fully answer all questions and
More informationThe Impact of Service Quality on Financial Performance and Corporate Social Responsibility: Conventional Versus Islamic Banks in Egypt
International Journal of Finance and Accounting 203, 2(3): 50-63 DOI: 0.5923/j.ijfa.2030203.03 The Impact of Service Quality on Financial Performance and Corporate Social Responsibility: Conventional Versus
More informationTender Title : Tender Ref. No. : 1718/PHL/WR/MAT/LP/TE-020. Product Category : CONSUMABLE. Sub Category :
Type of Organisation : SERVICE PROVIDER (AVIATION INDUSTRY) Tender Title : Tender Ref. No. : 1718/PHL/WR/MAT/LP/TE-020 Product Category : CONSUMABLE Sub Category : Tender Value : APPROX. RS.2,50,000/-.
More informationSWEN 256 Software Process & Project Management
SWEN 256 Software Process & Project Management Software change is inevitable o New requirements emerge when the software is under development or being used o The business environment changes o Errors must
More informationTAX EXEMPTION CERTIFICATE CITY OF DUBUQUE, IOWA
TAX EXEMPTION CERTIFICATE of CITY OF DUBUQUE, IOWA $20,800,000 SALES TAX INCREMENT REVENUE BONDS (Annual Appropriation Property Tax Supported), Senior Bond Series 2015A This instrument was prepared by:
More informationWorking Capital Investment Review as of December 31, 2016
UNIVERSITY OF CALIFORNIA Office of the Chief Investment Officer Growing Portfolios Building Partnerships Working Capital Investment Review as of December 31, 2016 UC Investments Table of Contents Office
More informationMISCELLANEOUS PROFESSIONAL LIABILITY APPLICATION
MISCELLANEOUS PROFESSIONAL LIABILITY APPLICATION IF A POLICY IS ISSUED, IT WILL BE ON A CLAIMS-MADE BASIS NOTICE: THE POLICY PROVIDES THAT THE LIMITS OF LIABILITY AVAILABLE TO PAY JUDGMENTS OR SETTLEMENTS
More informationDraft rules on 'Range' and 'Multiple Year Data' -An aid or
...,111e Draft rules on 'Range' and 'Multiple Year Data' -An aid or woe? RAKESH NANGIAANDAMIT BHALLA I 18/0612015 07:17 PM 'Range' and 'multiple year data' are among the best transfer-pricing practices
More informationBRUSH ENGINEERED MATERIALS INC
BRUSH ENGINEERED MATERIALS INC FORM 144 (Report of proposed sale of securities) Filed 8/12/2005 Address 17876 ST. CLAIR AVE. CLEVELAND, Ohio 44110 Telephone 216-383-4062 CIK 0001104657 Industry Metal Mining
More informationLift Works, Inc. Credit Application
Credit Application 600 Industrial Dr ~ St. Charles, IL 60174 AR PH: (630) 957-4317 AR FX: (630) 957-4193 Main PH: (630) 833-4626 Main FX: (630) 833-4628 Complete Credit Application Form and fax to (630)
More informationWISCONSIN WEALTH ADVISORS, LLC WEALTH MANAGEMENT SERVICES AGREEMENT. This Agreement for wealth management services is made between
WISCONSIN WEALTH ADVISORS, LLC WEALTH MANAGEMENT SERVICES AGREEMENT This Agreement for wealth management services is made between ( Client ) and Wisconsin Wealth Advisors, LLC ( Adviser ). Client hereby
More informationFLORIDA PROPOSAL FOR FINANCIAL INSTITUTIONS/FINANCIAL SERVICES DIRECTORS, OFFICERS AND COMPANY LIABILITY INSURANCE
Name of Insurance Company to which application is made FLORIDA PROPOSAL FOR FINANCIAL INSTITUTIONS/FINANCIAL SERVICES DIRECTORS, OFFICERS AND COMPANY LIABILITY INSURANCE NOTICE: THIS IS A PROPOSAL FOR
More informationSirius XM Radio Inc. v XL Specialty Ins. Co NY Slip Op 32872(U) November 7, 2013 Sup Ct, New York County Docket Number: /2013 Judge: O.
Sirius XM Radio Inc. v XL Specialty Ins. Co. 2013 NY Slip Op 32872(U) November 7, 2013 Sup Ct, New York County Docket Number: 650831/2013 Judge: O. Peter Sherwood Cases posted with a "30000" identifier,
More informationI. APPLICANT INFORMATION
INVESTMENT BANKING ENGAGEMENT ERRORS AND OMISSIONS INSURANCE APPLICATION This is an Application for claims made and reported Investment Banking Engagement Errors and Omissions Insurance. Please submit
More informationFidelity BrokerageLink Limited Third-Party Trading Authorization and Indemnification Form
Fidelity BrokerageLink Limited Third-Party Trading Authorization and Indemnification Form Participant Information: Plan Name: Name of Participant: SSN: Fidelity BrokerageLink Account Number: Daytime Phone:
More informationMARGIN AGREEMENT. KEEP A COPY FOR YOUR RECORDS. This is a copy of your Margin Agreement with Pershing LLC ( Pershing ).
MARGIN AGREEMENT KEEP A COPY FOR YOUR RECORDS. This is a copy of your Margin Agreement with Pershing LLC ( Pershing ). TO: Pershing LLC In consideration of your accepting and carrying for the undersigned
More informationFIDELITY ACCOUNT APPLICATION
FIDELITY ACCOUNT APPLICATION It s easy to fill out this application. Just complete all relevant sections, sign in ink, and return to Fidelity in the postage-paid envelope or mail to: Fidelity Investments,
More information