Finra immediate family definition

    • [DOCX File]Definitions - National Venture Capital Association - NVCA

      https://info.5y1.org/finra-immediate-family-definition_1_0d7b69.html

      Immediate Family Member ” means a child, stepchild, grandchild, parent, stepparent, grandparent, spouse, sibling, mother-in-law, father-in-law, ... should be included in the definition. ... The bracketed language is intended to address FINRA rules designed to limit conflicts of interest between the research and investment banking divisions of ...

    • Definitions. For purposes of this Agreement:

      Immediate Family Member ” means a child, stepchild, grandchild, parent, stepparent, grandparent, spouse, life partner or similar statutorily-recognized domestic partner, sibling, mother-in-law, father-in-law, son-in-law, daughter-in-law, brother-in-law, or sister-in-law, including adoptive relationships of a natural person referred to herein.

    • [DOC File].1

      https://info.5y1.org/finra-immediate-family-definition_1_a1c232.html

      This requirement applies to all private banking accounts for non-U.S. persons, regardless of when they were opened. Accounts requested or maintained by or on behalf of “senior foreign political figures,” which is defined below and includes their immediate family members and close known associates, require enhanced scrutiny.

    • [DOCX File]An Operational Guide to the Use of Irrevocable Medicaid ...

      https://info.5y1.org/finra-immediate-family-definition_1_63b54d.html

      Surviving spouse, Mrs. Public, age 75, established an income only irrevocable Medicaid trust in 2007, naming two of her children as trustees. (Note very similar terms would apply for a married couple with the only difference being that income would be payable to both the Donor and the Donor’s spouse).

    • Investor Relations - Legend Biotech

      transfers by gift to “immediate family” as that term is defined in SEC Rule 16a-1(e) promulgated under the Exchange Act; the designation of a beneficiary to receive benefits if the Participant dies or, if the Participant has died, transfers to or exercises by the Participant’s beneficiary, or, in the absence of a validly designated ...

    • [DOC File]ABC, INC - JustAnswer

      https://info.5y1.org/finra-immediate-family-definition_1_1dadd6.html

      Immediate family members of the above, with some exclusions in the rule. Excluded from the definition of “restricted person” are employees or immediate family members of an employee of a “limited business broker-dealer,” which is defined as any broker-dealer whose business is limited solely to the purchase and sale of investment company ...

    • ir.radiuspharm.com

      FINRA shall have the meaning set forth in Section 3.4(b)(viii) hereof. 4. ... other members of his or her immediate family and/or his, her or their descendants, or to a trust of which all of the beneficiaries are members of such class, or (b) by a Common Stockholder, Series A-4 Stockholder, Series A-5 Stockholder or Series A-6 Stockholder that ...

    • [DOCX File]Portrait Layout

      https://info.5y1.org/finra-immediate-family-definition_1_046aab.html

      Interest at the annual rate set forth in the definition of actuarial equivalent appearing in section one shall be transferred to the annuity reserve fund as provided for in subdivision (6) of this section. All annuities and all benefits for which such initial annuity reserve was established shall be paid from the annuity reserve fund.

    • [DOC File]Missouri Secretary of State

      https://info.5y1.org/finra-immediate-family-definition_1_462d51.html

      (III) The designation of an office of supervisory jurisdiction (OSJ) of each location that meets the definition contained in FINRA Rule 3110(f), effective July 31, 2015. The supervising member shall also designate such other OSJs as it determines to be necessary in order to supervise its producers and employees in accordance with the standards ...

    • [DOC File]Mortgage Currentcy

      https://info.5y1.org/finra-immediate-family-definition_1_eec685.html

      This requirement applies to all private banking accounts for non-U.S. persons, regardless of when they were opened. Accounts requested or maintained by or on behalf of “senior foreign political figures,” which is defined below and includes their immediate family members and close known associates, require enhanced scrutiny.

    • [DOCX File]Clerky | The easiest way for startups to get legal ...

      https://info.5y1.org/finra-immediate-family-definition_1_61602e.html

      “Immediate Family” as used herein shall mean lineal descendant or antecedent, spouse (or spouse’s antecedents), father, mother, brother or sister (or their descendants), stepchild (or their antecedents or descendants), aunt or uncle (or their antecedents or descendants), brother-in-law or sister-in-law (or their antecedents or descendants) and shall include adoptive relationships, or any person sharing Holder’s household (other than a tenant or an employee).

    • [DOC File]www.finrafoundation.org

      https://info.5y1.org/finra-immediate-family-definition_1_904f61.html

      For more information, see FINRA's alert, Duration—What an Interest Rate Hike Could Do to Your Bond Portfolio. Refunding risk and sinking funds provisions. A sinking fund provision, which often is a feature included in bonds issued by industrial and utility companies, requires a bond issuer to retire a certain number of bonds periodically.

    • [DOCX File]BioBlast - Insider Trading Policy June 23 2015 incl FP ...

      https://info.5y1.org/finra-immediate-family-definition_1_a35632.html

      As noted above, the definition of Insiders, to which this Policy applies, includes immediate family members of Company Affiliated Persons. Although immediate family is narrowly defined, a Company Affiliated Person should be especially careful with respect to family members or to unrelated persons living in the same household.

    • [DOCX File]Firm Policy - FINRA

      https://info.5y1.org/finra-immediate-family-definition_1_400075.html

      may be a material change in business requiring an application, review and approval by FINRA. See. NASD Rule 1017). NOTE: If your firm deals only with entities that are exempt f. rom the definition of “legal entity customer,” describe how your firm will confirm and document that the entities are exempt. or excluded. Identification . and ...

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