A Investments Is Not, And, to the Knowledge of Seller, No “person Associated With Sample Clauses


A Investments is not, and, to the Knowledge of Seller, no “person associated with. A Investments (as defined in the Exchange Act) or “associated person” of A Investments (as defined in the FINRA By-Laws) is, (i) ineligible to serve as a broker-dealer or associated person of a broker-dealer under Section 15(b) or 15(c) of the Exchange Act, (ii) subject to “statutory disqualification” (as defined in the Exchange Act) or (iii) subject to a disqualification that would be a basis for censure, limitations on the activities, functions or operations of, or suspension or revocation of the registration of A Investments as a broker-dealer, nor is there any proceeding or investigation pending or, to the Knowledge of Seller, threatened by any Governmental Authority, which would become the basis for any such ineligibility or disqualification.