Compliance with Securities Law and FINRA Rules. At all times the Soliciting Dealer will perform its services under this Agreement in compliance with applicable securities laws and other applicable legal and regulatory requirements in any jurisdiction in which the Soliciting Dealer solicits or procures the purchase of Shares or otherwise engages in any activity contemplated by this Agreement. The Soliciting Dealer will not knowingly take any action that would place the Sponsor, the Company or any investor in violation of any U.S. federal or state law or any other laws or regulations.
Compliance with Securities Law and FINRA Rules. In soliciting persons to acquire the Shares, Soliciting Dealer agrees to comply in all material respects with any applicable requirements of the 1933 Act, the 1934 Act, applicable state securities laws, the published rules and regulations thereunder and the Conduct Rules of FINRA.
Compliance with Securities Law and FINRA Rules. In wholesaling to third-party FINRA member broker-dealers as provided herein, Wholesaling Dealer agrees to comply in all material respects with any and all applicable requirements of the Act, the Exchange Act, applicable state securities laws, the published rules and regulations thereunder and the Conduct Rules of FINRA.
