Duly Registered. The Agent is duly registered pursuant to the provisions of the Securities Laws, and is duly registered or licensed as an investment dealer or exempt market dealer in those jurisdictions in which it is required to be so registered in order to perform the services contemplated by this Agreement, or if or where not so registered or licensed, the Agent will act only through selling group members who are so registered or licensed.
Duly Registered. The Underwriter is, and will remain, until the completion of the Offering, appropriately registered under applicable Securities Laws so as to permit it to lawfully fulfil its obligations hereunder.
Duly Registered. The placement Agent is duly registered, pursuant to the applicable provisions of the Exchange Act, as a broker-dealer, is a member in good standing of the National Association of Securities Dealers, Inc. ("NASD"), and is duly registered as a broker-dealer in such states as the Placement Agent is required to be registered in order to complete the Offering contemplated by this Agreement and the Memorandum. In connection with the offering, the Placement Agent shall have the right at no additional compensation or cost to AbTech to select co-placement agents and to form a syndicate of selected dealers who will assist it in the Offering. Any firm with which the Placement Agent associates will be (i) a fully registered broker-dealer and a member of the NASD, or (ii) a foreign broker-dealer and/or a member of a national stock exchange of its country of origin who is lawfully registered or licensed to act in such jurisdiction.
Duly Registered. Transfer Agent is at the date of the execution of this Agreement, and will remain during the entire term of the Agreement, a duly registered transfer agent under the Exchange Act.
Duly Registered. Each Underwriter (or its U.S. Affiliate, as applicable) is duly registered pursuant to the provisions of applicable Securities Laws, and is duly registered or licensed as an investment dealer in those jurisdictions in which it is required to be so registered in order to perform the services contemplated by this Agreement, or if or where not so registered or licensed, each Underwriter will act only through members of the Selling Group who are so registered or licensed.
Duly Registered. The Placement Agent is duly registered, --------------- pursuant to the applicable provisions of the Securities Exchange Act of 1934, as amended (the "Securities Act"), as a dealer, and as a member in good standing of the National Association of Securities Dealers, Inc., and is duly registered as a broker-dealer in such states as the Placement Agent is required to be registered in order to complete the Offering contemplated by this Agreement and the Memorandum.
Duly Registered. The Placement Agent is duly registered, pursuant to the applicable provisions of the Exchange Act, as a dealer, and is a member in good standing of the National Association of Securities Dealers, Inc. ("NASD"), and is duly registered as a broker-dealer in such states as the Placement Agent is required to be registered in order to complete the Private Offering contemplated by this Agreement and the Memorandum.
Duly Registered. Standard is (and at all times during the Engagement Period shall be) (i) duly registered as a broker and a dealer pursuant to the applicable provisions of the Securities Exchange Act of 1934, as amended (the ”Exchange Act”), and the rules and regulations promulgated thereunder; (ii) a member in good standing of the National Association of Securities Dealers, Inc. (the ”NASD”); and (iii) duly registered, licensed, and in good standing as a broker and a dealer under the laws of each jurisdiction as Standard is required to be registered, licensed, and/or in good standing in order to perform the services contemplated by this Agreement and otherwise perform its obligations hereunder. Each person employed, engaged, or appointed by Standard to assist or participate in the performance of the services to be rendered pursuant to this Agreement (each, an ”Affiliate”) is (and at all times during the Engagement Period shall be) (i) duly registered (as required by the Legal Requirements, as that term is defined herein) pursuant to the applicable provisions of the Exchange Act and the rules and regulations promulgated thereunder; (ii) a member in good standing of the NASD (as required by the Legal Requirements); and (iii) duly registered, licensed, and in good standing (as required by the Legal Requirements) under the laws of each jurisdiction in which such person will perform the services contemplated by this Agreement, or as otherwise may be required.
Duly Registered. The Placement Agent is (and at all times during the term of this Agreement and the Offering shall be) (i) duly registered as a broker and a dealer pursuant to the applicable provisions of the Securities Exchange Act of 1934, as amended (the "EXCHANGE ACT"), and the rules and regulations promulgated thereunder; (ii) a member in good standing of the National Association of Securities Dealers, Inc. (the "NASD"); and (iii) duly registered, licensed, and in good standing as a broker and a dealer under the laws of each jurisdiction as the Placement Agent is required to be registered, licensed, and/or in good standing in order to solicit or participate in the Offering contemplated by this Agreement and the Memorandum and otherwise perform its obligations hereunder. Each person employed, engaged, or appointed by the Placement Agent to offer or sell any of the Shares or otherwise solicit or participate in the Offering (an "AFFILIATE") is (and at all times during the term of this Agreement and the Offering shall be) (i) duly registered pursuant to the applicable provisions of the Exchange Act and the rules and regulations promulgated thereunder; (ii) a member in good standing of the NASD; and (iii) duly registered, licensed, and in good standing under the laws of each jurisdiction in which such person will offer or sell the Shares or otherwise solicit or participate in the Offering, or as otherwise may be required.
