Broker-Dealer Activities. Seller is duly registered and licensed as a broker-dealer with the SEC and in each state in which it conducts the Business under any state or federal broker-dealer or similar Law pursuant to which it is required to be so registered. Seller is a member in good standing with FINRA. Seller has timely filed all Forms BD and all other requisite filings, if any, required to be filed with any Governmental Entity. Seller is in material compliance with all applicable rules of any Governmental Entity in regard to its broker-dealer activities.
Broker-Dealer Activities. (a) Neither Bryn Mawr nor any Bryn Mawr Subsidiary is a broker-dealer required to be registered, licensed or qualified as a broker-dealer under the Exchange Act or any analogous applicable state Law. Neither Bryn Mawr nor any Bryn Mawr Subsidiary is conducting, nor has at any time since December 31, 2017 conducted, broker-dealer activities.
Broker-Dealer Activities. Seller is duly registered and licensed as a broker-dealer with the SEC and in each state in which it conducts the Business under any state or federal broker-dealer or similar Law pursuant to which it is required to be so registered. Seller is a member in good standing with FINRA. Seller has timely filed all Forms BD and all other requisite filings, if any, required to be filed with any Governmental Entity. Seller is in material compliance with all applicable rules of any Governmental Entity in regard to its broker-dealer activities. Except as disclosed on Schedule 4.15, to Seller’s knowledge, neither Seller nor any of its directors, officers, employees, or any associated persons of Seller, in connection with the performance of their respective duties or services for Seller, since January 1, 2011 (i) have been convicted of any crime or been subject to any disqualification that would be the basis for denial, suspension, revocation, or limitation on the registration of Seller as a registered broker-dealer; nor, (ii) are subject to or involved in any current investigation that would be reasonably likely to result in any denial, suspension, revocation, or limitation relating to or affecting the conduct of the broker-dealer activities of Seller, (iii) are subject to or involved in any regulatory action or investigative or disciplinary proceeding with the SEC or FINRA or any other Governmental Entity; or (iv) are subject to or involved in any orders, disqualifications, penalties or special restrictions relating to or affecting the conduct of the broker-dealer activities of Seller.
Broker-Dealer Activities. (a) Except for the Broker-Dealer, no Transferred Company has at any time since January 1, 2009 or is currently required to be registered, licensed or qualified as a broker or a dealer under any Applicable Law.
Broker-Dealer Activities. Neither it nor any of its Subsidiaries is, nor is any affiliate of any of them, subject to a “statutory disqualification” as defined in Section 3(a)(39) of the Exchange Act or 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 any broker-dealer Subsidiary as a broker-dealer, municipal securities dealer, government securities broker or government securities dealer under Section 15, Section 15B or Section 15C of the Exchange Act, or performing similar functions under the Laws of other jurisdictions, and there is no reasonable basis for, or proceeding or written notice of investigation by any Governmental Authority, whether preliminary or otherwise, that is reasonably likely to result in, any such censure, limitation, suspension or
Broker-Dealer Activities. Notwithstanding anything to the contrary contained herein, AMRESCO shall be entitled, through its subsidiary, Data Financial Inc., or through such other subsidiary or affiliate which may in the future conduct capital markets activities (collectively, "DFI") to purchase or otherwise invest in any tranche of CMBS, RMBS or other mortgage-related products, to the extent such purchase or investment is (i) made for the purposes of creating a secondary market or facilitating trading in securities, (ii) accepted as payment to the AMRESCO Group of all or any portion of the purchase price of any CMBS, RMBS or other mortgage-related products, sold in securitizations or other transactions sponsored in whole or in part by any member of the AMRESCO Group or in which any member of the AMRESCO Group participates, or (iii) otherwise consistent with general capital markets activities, including transactions in which brokers/dealers typically engage and, in any event, is not intended, at the time of acquisition or investment, to be held by DFI or any member of the AMRESCO Group as a long term investment.
Broker-Dealer Activities. (a) Birchtree Financial is and has been, since the commencement of its engagement in activities for which registration as a broker-dealer is or was required under the Exchange Act (such activities “Broker-Dealer Activities”), duly registered as a broker-dealer under the Exchange Act and the FINRA rules. None of the Targets other than Birchtree Financial engages or has engaged in Broker-Dealer Activities. Except as set forth on Schedule 3.22(a) of the Disclosure Schedule, Birchtree Financial does not have any “registered representatives” (as such term is defined under the rules of the Financial Industry Regulatory Authority, Inc. (“FINRA” and such rules, “FINRA Rules”). Birchtree Financial is duly registered, licensed and qualified as a broker-dealer in all jurisdictions where such registration, licensing or qualification is so required. Birchtree Financial is in compliance in all material respects with all federal laws requiring registration, licensing or qualification as a broker-dealer with the SEC and is in material compliance with all other federal and state laws requiring registration, licensing or qualification as a broker-dealer. Birchtree Financial’s employees and associated persons (as defined in FINRA Rules) who are required to be licensed or registered as registered representatives are duly licensed or registered in each state and with each Governmental Authority in which or with which such licensing or registration is so required. Birchtree Financial is a member firm of FINRA, in good standing. Birchtree Financial has made available to the Acquiror true and complete copies of Birchtree Financial’s Form BD as most recently filed with the SEC and all state registration forms, each as amended to date. The information contained in such form was true and complete in all material respects at the time of filing and Birchtree Financial has made all amendments to such form as it is required to make under any applicable Law.
Broker-Dealer Activities. (a) Section 3.28 of the Disclosure Letter contains a list, as of June 20, 2000, of each of the Companies that acts or has acted as a broker or dealer in securities in the United States or outside (each of such Companies, a "BROKER").
Broker-Dealer Activities. Neither it nor any of its Subsidiaries is, nor is any affiliate of any of them, subject to a “statutory disqualification” as defined in Section 3(a)(39) of the Exchange Act or 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 any broker-dealer Subsidiary as a broker-dealer, municipal securities dealer, government securities broker or government securities dealer under Section 15, Section 15B or Section 15C of the Exchange Act, or performing similar functions under the Laws of other jurisdictions, and there is no reasonable basis for, or proceeding or written notice of investigation by any Governmental Authority, whether preliminary or otherwise, that is reasonably likely to result in, any such censure, limitation, suspension or revocation. It has made available to FNFG true and correct copies of the current Uniform Application for Broker-Dealer Registration on Form BD for Advisory Entity, which is in compliance with applicable law.
Broker-Dealer Activities. Broker-Dealer also agrees to perform, at its own expense, the following administrative duties in connection with the solicitation, sale and servicing of the Policies by its duly licensed and appointed Representatives.
