Broker-Dealer Registration. The Placement Agent is registered as a broker-dealer under Section 15 of the Exchange Act.
Broker-Dealer Registration. The Distributor and AGSI each represents and warrants that it is registered as a broker dealer with the SEC under the Securities Exchange Act of 1934, as amended, and is a member in good standing of the National Association of Securities Dealers, Inc. (the "NASD").
Broker-Dealer Registration. Distributor represents and warrants that it is registered as a broker dealer with the SEC under the Securities Exchange Act of 1934, as amended, and is a member in good standing of the National Association of Securities Dealers, Inc. (the "NASD").
Broker-Dealer Registration. The Company will maintain its registration as a broker-dealer with the Commission in full force and effect and maintain its membership ill good standing in such organizations as are necessary to enable it to engage in the securities business and take all action necessary to comply in all material respects with the rules and regulations of such organizations.
Broker-Dealer Registration. AFD is a broker-dealer duly registered with the SEC pursuant to the 1934 Act and a member in good standing of the NASD and is in compliance with the federal securities laws and the securities laws in those states in which it conducts business as a broker-dealer and AFD will maintain such registration, membership and compliance.
Broker-Dealer Registration a Prepare and/or update Form BD Amendment; b Prepare additional paperwork as required by upgrade or change; c Prepare and/or update Form U-4s of principals, officers, owners, and registered persons as needed; d Assist the Company and participate at NASD and SEC meetings as needed, including participating in the membership review process; e Prepare and/or update state registration packages as needed; and f Facilitate transfer of registrations via Web CRD of registered persons.
Broker-Dealer Registration. MS&Co. is a broker-dealer having duly registered with the SEC pursuant to Section 15 of the Exchange Act, which registration is in full force and effect. Neither the application for registration nor any amendment thereto contains any untrue statement of a material fact or omits to state a material fact necessary in order to make the statements made, in the light of the circumstances under which they were made, not misleading.
Broker-Dealer Registration. Manorhaven is registered as a broker-dealer with the Commission and under the laws of California, Colorado, Connecticut, the District of Columbia, Florida, Georgia, Illinois, Massachusetts, Minnesota, Nevada, New Jersey, New York, North Carolina, Ohio, Pennsylvania, Rhode Island, Texas and Washington, is a member of FINRA, and is in compliance with all applicable laws, rules, regulations, orders, by-laws and similar requirements in connection with such registration and memberships, including without limitation Rule 15c-1 under the 1934 Act (the "Net Rule"), except where the failure to be so registered or in such compliance would not have a Material Adverse Effect.
Broker-Dealer Registration. (a) Stifel Nicolaus is registered as a broker-dealer with the Commissxxx xxx xxxxx xhe laws of all fifty U.S. states, the District of Columbia and Puerto Rico, is a member of the NASD, the New York Stock Exchange, the American Stock Exchange, the Chicago Stock Exchange, the Philadelphia Exchange, the Chicago Board Options Exchange, the Midwest Options Exchange, the Philadelphia Board of Trade and the New York Futures Exchange, Inc., and is in compliance with all applicable laws, rules, regulations, orders, by-laws and similar requirements in connection with such registration and memberships, including without limitation Rule 15c-1 under the 1934 Act (the "Net Capital Rule"), except where the failure to be so registered or in such compliance would not have a Material Adverse Effect; and (b) Century Securities Associates, Inc. ("CSA") is a registered broker-dealer with the Commission and under the laws of all fifty U.S. states and the District of Columbia, is a member of the NASD and is in compliance with all applicable laws, rules, regulations, orders, by-laws and similar requirements in connection with such registration and membership, including without limitation the Net Capital Rule, except where the failure to be so registered or in such compliance would not have a Material Adverse Effect.
Broker-Dealer Registration. Pursuant to documentation reasonably acceptable to Buyer, Seller shall, and shall cause the Company to, use commercially reasonable efforts to cause one of the Subsidiaries (or a new subsidiary of the Company to be created and included in the Business) to be a member of the National Association of Securities Dealers and licensed by all appropriate Governmental Entities as a broker-dealer capable of carrying out the activities of the Business which require such a broker-dealer.
