the seller to compensate the purchaser in the case where the delivered goods do not meet the standards stipulated under the contract shall not be treated as permitting the party having the obligation to

date of the complaint received. And if the derivatives broker has not yet finished its solution to the complaint, a progress report shall be delivered to the Office every thirty days until the

customer’s order according to rules prescribed in this Notification; or (2) sale of securities pursuant to the customer’s order where the customer has not yet delivered possession of such securities to the

receive payment of or pay for the underlying asset delivered or taken at the exercise price specified under the contract. If options expire worthless, the buyer’s loss equals the amount of premium. A seller

receipt of such payment; (c) money from securities selling, which the securities company receives on behalf of the client and already issued a cheque for payment or delivered such money to the client within

statement of claim to be delivered to the respondent. The claimant may request for the Office’s mediation of dispute prior to commencing the arbitral process, at the same time of filing the dispute. Clause 8

the case may be, shall sign a statement certifying the correctness and completeness of things delivered to the new trustee and delivers such statement to the new trustee. The former trustee or the

provider of overallotment shares is able to provide over-allotment shares in full amount as required to be delivered or returned to a securities underwriter who is obliged to provide over-allotment shares in

over-allotment shares is able to provide over-allotment shares in a full amount required to be delivered or returned for a securities underwriter who is obliged to provide over-allotment shares in cases

which is dividend or interest on securities or instruments owned by the client and the securities company has already delivered all of such money to the client within five working days from the date of