Compliance with Rule. 16B-3. With respect to any person subject to Section 16 of the Exchange Act, transactions under this Plan are intended to comply with the requirements of Rule 16b-3 under the Exchange Act, as applicable during the term of this Plan. To the extent that any provision of this Plan or action of the Committee or its delegates fail to so comply, it shall be deemed null and void.
Compliance with Rule. 15Ga-2 and Rule 17g-5. The Co-Issuers shall have complied with all requirements of Rule 15Ga-2 and Rule 17g-5 under the Exchange Act to the satisfaction of the Placement Agent.
Compliance with Rule. 10b5-1(c). The parties intend that this Trading Plan comply with the requirements of Rule 10b5-1(c)(1)(i) under the Exchange Act and this Trading Plan shall be interpreted to comply with the requirements of Rule 10b5-1(c).
Compliance with Rule. To comply at all times with all policies and procedures heretofore or hereafter promulgated and adopted by the Church for the operation of the Columbarium; the Purchaser acknowledges receipt of a copy of the Policies and Procedures.
Compliance with Rule. 15c2-8 of the Securities Exchange Act of 1934, as amended. You hereby (i) represent that neither you nor any person associated with your firm solicited customers’ orders for Interests prior to the Effective Date; (ii) represent and agree to take all reasonable steps to make available a copy of the final Prospectus relating to the Interests to each person associated with your firm who is expected, after the Effective Date, to solicit customer orders for Interests prior to the making of any such solicitation by such associated persons; (iii) agree to take reasonable steps, as Dealer-Manager of this Offering, to furnish each Selling Dealer with sufficient copies, as requested by them, of the final Prospectus to enable them to comply with paragraphs (b), (c), (d) and (e) of Rule 15c2-8 of the Securities Exchange Act of 1934, as amended, and the prospectus delivery requirements of Section 5(b)(1) and (2) of the Act; and (iv) agree that neither you, nor any person associated with your firm, will furnish Prospectuses to any person in any State (e.g. in any State (A) listed as not cleared on the “Blue-Sky Survey” by counsel to the Partnership or the Dealer-Manager or (B) in which your firm or any person associated with your firm who solicits offers to buy or offers to sell Interests is not currently registered); provided, however, that this provision is not to be construed to relieve you from complying with the requirements of Section 5(b)(1) and (2) of the Act. You hereby acknowledge that Prospectuses shall not be furnished by you or any person associated with your firm to any prospective investor while the Registration Statement is subject to an examination, proceeding or stop order pursuant to Section 8 of the Act.
Compliance with Rule. 16b-3. It is the Company's intent that this Agreement comply in all respects with Rule 16b-3 of the Exchange Act and any regulations promulgated thereunder. If any provision of this Agreement is later found not to be in compliance with the Rule, the provision shall be construed so as to comply therewith. All exercises of options and sales of securities acquired upon the exercise of options under this Agreement shall comply with the requirements of Section 16 of the Exchange Act and any regulations promulgated thereunder.
Compliance with Rule. 45. PHI will be responsible for filings, reports, notices and other requirements for the PHI Group as expressly stated under Rule 45(c)(6).
Compliance with Rule. 38a-1. The Service Company shall maintain policies and procedures that are reasonably designed to prevent violations of the federal securities laws, and shall employ personnel to administer the policies and procedures who have the same requisite level of skill and competence required to effectively discharge its responsibilities. The Service Company shall also provide the Company's chief compliance officer with periodic reports regarding its compliance with the federal securities laws, and shall promptly provide special report in the event of any material violation of the federal securities laws.
Compliance with Rule. To comply at all times with all bylaws heretofore and hereafter adopted by the Church for the operation of the Columbarium; and
Compliance with Rule. To comply at all times with all policies and procedures heretofore or hereafter promulgated and adopted by SOSF for the operation of the Columbarium which are enforceable by the SOSF and its successors. The Applicant acknowledges receipt of a copy of the Policies and Procedures. There shall be no inurnment without the approval of the SOSF Columbarium Administrator.
