Compliance with Applicable Laws, Rules and Regulations Sample Clauses

Compliance with Applicable Laws, Rules and Regulations. The Dealer Manager represents to the Company that (a) it is a member of FINRA in good standing, and (b) it and its employees and representatives who will perform services hereunder have all required licenses and registrations to act under this Agreement. With respect to its participation and the participation by each Participating Dealer in the offer and sale of the Offered Shares (including, without limitation, any resales and transfers of Offered Shares), the Dealer Manager agrees, and, by virtue of entering into the Participating Dealer Agreement, each Participating Dealer shall have agreed, to comply with any applicable requirements of the Securities Act and the Exchange Act, applicable state securities or blue sky laws, and, specifically including, but not in any way limited to, NASD Conduct Rules 2340 and 2420, and FINRA Conduct Rules 2310, 5130 and 5141.
Compliance with Applicable Laws, Rules and Regulations. (a) The Dealer Manager (i) is duly registered as a broker-dealer pursuant to the provisions of the Exchange Act, (ii) is a member of FINRA in good standing, (iii) is a broker or dealer duly registered as such in those states where the Dealer Manager is required to be registered in order to carry out the Offering as contemplated by this Agreement, and (iv) it has, and its employees and representatives who will perform services hereunder have, all required licenses and registrations to act under this Agreement. There is no provision in the Dealer Manager’s FINRA membership agreement that would prohibit or restrict the ability of the Dealer Manager to carry out the Offering as contemplated by this Agreement.
Compliance with Applicable Laws, Rules and Regulations. The Corporation may impose such restrictions on the Option, any Shares or other benefits underlying the Option as it may deem advisable, including without limitation restrictions under the federal securities laws, the requirements of any stock exchange or similar organization and any blue sky, state or foreign securities laws applicable to such securities. Notwithstanding any other provision in the Plan or this Agreement to the contrary, the Corporation shall not be obligated to issue, deliver or transfer shares of Common Stock, make any other distribution of benefits, or take any other action, unless such delivery, distribution or action is in compliance with Applicable Laws (including, but not limited to, the requirements of the Securities Act). The Corporation will be under no obligation to register the Shares or other securities with the Securities and Exchange Commission or to effect compliance with the exemption, registration, qualification or listing requirements of any state securities laws, stock exchange or similar organization, and the Corporation will have no liability for any inability or failure to do so. The Corporation may cause a restrictive legend or legends to be placed on any certificate issued pursuant to the Shares in such form as may be prescribed from time to time by Applicable Law or as may be advised by legal counsel.
Compliance with Applicable Laws, Rules and Regulations. The Advisor warrants, represents and covenants that it and all its agents and employees shall comply with (a) all applicable federal and state laws in conducting its and their activities including, without limitation, federal and state securities laws, (b) all rules, regulations and interpretations by governmental and regulatory bodies and self-regulatory organizations having jurisdiction, including, without limitation, the NASD, (c) all rules, regulations and procedures of the NSCC (subject to any limitations contained herein) if and to the extent that the Advisor uses NSCC for effecting purchases and redemptions of Fund shares through NSCC and (d) all federal and state banking laws, if applicable.
Compliance with Applicable Laws, Rules and Regulations. The Buyer shall comply with all applicable federal, state and local laws, regulations, ordinances, orders and requirements, as well as with all applicable policies, rules and regulations of the University.
Compliance with Applicable Laws, Rules and Regulations. Consultant/Professional and any subcontractors shall comply with all laws, rules, regulations, and requirements applicable to the performance of the work hereunder, which include but are not limited to those relating to health and safety, that may be amended from time to time. See Exhibit D, attached and incorporated by reference, as applicable.