Compliance with Applicable Rules and Regulations. Employee shall be subject to all of the Rules and Regulations of the Securities and Exchange Commission and the National Association of Securities Dealers and the Company reserves the right to terminate Employee should he/she not remain compliant with these Rules and Regulations.
Compliance with Applicable Rules and Regulations. Provision of the Benefits pursuant to this Agreement is subject to rules and requirements of each organization and venue hosting a racing event in which the Racing Team competes during the term hereof, and the Sponsor agrees to submit to Racing all advertising and other promotional material relating to each such event in sufficient time to enable Racing to assure compliance with such rules and requirements. If as a result of such rules and requirements Racing is unable to provide a Benefit in the form requested by the Sponsor, Racing shall be permitted to provide a substitute promotion or advertisement in compliance with such requirements.
Compliance with Applicable Rules and Regulations a. Recipient agrees to comply with the requirements of section 603 of the Act, regulations adopted by Treasury pursuant to section 603(f) of the Act, and guidance issued by Treasury regarding the foregoing. Recipient also agrees to comply with all other applicable federal statutes, regulations, and executive orders, and Recipient shall provide for such compliance by other parties in any agreements it enters into with other parties relating to this award.
Compliance with Applicable Rules and Regulations. In carrying out its responsibilities under this Agreement, Administrator shall comply with all applicable requirements of the Investment Company Act of 1940 (“1940 Act”) and other applicable laws, rules, regulations, orders.
Compliance with Applicable Rules and Regulations. In carrying out its responsibilities under this Agreement, Transfer Agent shall comply with all applicable requirements of the 1940 Act and other applicable laws, rules, regulations, orders.
Compliance with Applicable Rules and Regulations. In carrying out its responsibilities under this Agreement, Distributor shall comply with all applicable requirements of the 1940 Act and other applicable laws, rules, regulations, orders.
Compliance with Applicable Rules and Regulations. The Final Beneficiary without limitation:
Compliance with Applicable Rules and Regulations. The Applicable Rules and Regulations may provide for position limits, exercise limits, margin requirements and requirements for cash-only trades during certain periods, such as the last ten business days prior to the expiry of an Option. The Firm may also set position limits, exercise limits and/or requirements for cash-only trades prior to the expiry of an Option. You acknowledge that the Firm may limit your ability to exercise an Option undergoing certain corporate action events. You agree to comply with all Applicable Rules and Regulations, limitations and requirements in effect or which may be passed or adopted. You will not exceed in aggregate, either alone or with others, directly or indirectly, any exercise limit or position limit, or other such restriction imposed. The Firm may be required to report any such violation to the applicable regulatory authorities. You acknowledge that you may not establish an Option position with one firm and, while maintaining it, have the same position closed out through another firm
Compliance with Applicable Rules and Regulations. Provision of the Benefits pursuant to this Agreement is subject to rules and requirements of each organization and venue hosting a racing event in which the Racing Team competes during the term hereof, and Sponsor agrees to submit to Blackhawk all advertising and other promotional material in sufficient time to enable Blackhawk to assure compliance with such rules and requirements. If as a result of such rules and requirements Blackhawk is unable to provide a Benefit in the form requested by the Sponsor, Blackhawk shall be permitted to provide a substitute promotion or advertisement in compliance with such requirements.
Compliance with Applicable Rules and Regulations. Upon the effectiveness of this Agreement, the undersigned dealer will become one of the “Selected Dealers” referred to in the Dealer Manager Agreement and is referred to herein as “Selected Dealer”. Selected Dealer agrees that solicitation and other activities by it hereunder shall comply with, and shall be undertaken only in accordance with, the terms of the Dealer Manager Agreement, the terms of this Agreement, the Securities Act, the Securities Act Rules and Regulations, the Securities Exchange Act of 1934, as amended (the “Exchange Act”), and the applicable rules and regulations promulgated thereunder (the “Exchange Act Rules and Regulations”), the Blue Sky Survey (as defined below), the FINRA Rules (including, without limitation, FINRA Rules 2310, 5110, 5131 and 5141), NASD Rules 2340 and 2420, and the provisions of Article III.C. of the Omnibus Guidelines published by the North American Securities Administrators Association, Inc., as revised and amended on May 7, 2007 and as may be further revised and amended (the “NASAA Guidelines”). Selected Dealer’s acceptance of this Agreement constitutes a representation to both the Company and to the Dealer Manager that Selected Dealer is a properly registered or licensed broker-dealer, duly authorized to sell Shares under federal and state securities laws and regulations in all states where it offers or sells Shares, and that it is a member in good standing of FINRA. Selected Dealer represents and warrants that it is currently licensed as a broker-dealer in the jurisdictions identified on Schedule 1 to this Agreement and that its independent contractors and registered representatives have the appropriate licenses to offer and sell the Shares in such jurisdictions. This Agreement shall automatically terminate with no further action by either party if Selected Dealer ceases to be a member in good standing of FINRA or with the securities commission of any state in which Selected Dealer is currently registered or licensed. Selected Dealer agrees to notify the Dealer Manager immediately if Selected Dealer ceases to be a member in good standing of FINRA or with the securities commission of any state in which Selected Dealer is currently registered or licensed.
