Duly Registered Sample Clauses

Duly Registered. The Agent is duly registered pursuant to the provisions of the Securities Laws, and is duly registered or licensed as an investment dealer or exempt market dealer in those jurisdictions in which it is required to be so registered in order to perform the services contemplated by this Agreement, or if or where not so registered or licensed, the Agent will act only through selling group members who are so registered or licensed.
Sample 1Sample 2See All (7)
Duly Registered. The Underwriter is, and will remain, until the completion of the Offering, appropriately registered under applicable Securities Laws so as to permit it to lawfully fulfil its obligations hereunder.
Sample 1Sample 2Sample 3See All (4)
Duly Registered. The placement Agent is duly registered, pursuant to the applicable provisions of the Exchange Act, as a broker-dealer, is a member in good standing of the National Association of Securities Dealers, Inc. ("NASD"), and is duly registered as a broker-dealer in such states as the Placement Agent is required to be registered in order to complete the Offering contemplated by this Agreement and the Memorandum. In connection with the offering, the Placement Agent shall have the right at no additional compensation or cost to AbTech to select co-placement agents and to form a syndicate of selected dealers who will assist it in the Offering. Any firm with which the Placement Agent associates will be (i) a fully registered broker-dealer and a member of the NASD, or (ii) a foreign broker-dealer and/or a member of a national stock exchange of its country of origin who is lawfully registered or licensed to act in such jurisdiction.
Sample 1
Duly Registered. The Placement Agent is duly registered, --------------- pursuant to the applicable provisions of the Securities Exchange Act of 1934, as amended (the "Securities Act"), as a dealer, and as a member in good standing of the National Association of Securities Dealers, Inc., and is duly registered as a broker-dealer in such states as the Placement Agent is required to be registered in order to complete the Offering contemplated by this Agreement and the Memorandum.
Sample 1
Duly Registered. Standard is (and at all times during the Engagement Period shall be) (i) duly registered as a broker and a dealer pursuant to the applicable provisions of the Securities Exchange Act of 1934, as amended (the ”Exchange Act”), and the rules and regulations promulgated thereunder; (ii) a member in good standing of the National Association of Securities Dealers, Inc. (the ”NASD”); and (iii) duly registered, licensed, and in good standing as a broker and a dealer under the laws of each jurisdiction as Standard is required to be registered, licensed, and/or in good standing in order to perform the services contemplated by this Agreement and otherwise perform its obligations hereunder. Each person employed, engaged, or appointed by Standard to assist or participate in the performance of the services to be rendered pursuant to this Agreement (each, an ”Affiliate”) is (and at all times during the Engagement Period shall be) (i) duly registered (as required by the Legal Requirements, as that term is defined herein) pursuant to the applicable provisions of the Exchange Act and the rules and regulations promulgated thereunder; (ii) a member in good standing of the NASD (as required by the Legal Requirements); and (iii) duly registered, licensed, and in good standing (as required by the Legal Requirements) under the laws of each jurisdiction in which such person will perform the services contemplated by this Agreement, or as otherwise may be required.
Sample 1
Duly Registered. Transfer Agent is at the date of the execution of this Agreement, and will remain during the entire term of the Agreement, a duly registered transfer agent under the Exchange Act.
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Duly Registered. It is duly registered as transfer agent under Section 17A of the Exchange Act;
Sample 1

Related to Duly Registered

  • Securities Not Registered Such Purchaser understands that the Securities have not been registered under the Securities Act, by reason of their issuance by the Company in a transaction exempt from the registration requirements of the Securities Act, and that the Securities must continue to be held by such Purchaser unless a subsequent disposition thereof is registered under the Securities Act or is exempt from such registration. Such Purchaser understands that the exemptions from registration afforded by Rule 144 (the provisions of which are known to it) promulgated under the Securities Act depend on the satisfaction of various conditions, and that, if applicable, Rule 144 may afford the basis for sales only in limited amounts.

  • Share Register The Paying Agent shall maintain the share register, which shall contain a list of the Holders, the number of shares held by each Holder and the address of each Holder. The Paying Agent shall record in the share register any change of address of a Holder upon notice by such Holder. In case of any written request or demand for the inspection of the share register or any other books of the Fund in the possession of the Paying Agent, the Paying Agent will notify the Fund and secure instructions as to permitting or refusing such inspection. The Paying Agent reserves the right, however, to exhibit the share register or other records to any person in case it is advised by its counsel that its failure to do so would be unlawful.

  • Securities Are Not Registered (a) The Holder understands that the Warrant and the Exercise Shares have not been registered under the Securities Act of 1933, as amended (the “Act”) on the basis that no distribution or public offering of the stock of the Company is to be effected. The Holder realizes that the basis for the exemption may not be present if, notwithstanding its representations, the Holder has a present intention of acquiring the securities for a fixed or determinable period in the future, selling (in connection with a distribution or otherwise), granting any participation in, or otherwise distributing the securities. The Holder has no such present intention.

  • Registered Agent; Registered Office The registered agent for service of process on the Company in the State of Delaware shall be The Corporation Trust Company. The registered office of the Company in the State of Delaware shall be c/o The Corporation Trust Company, Corporation Trust Center, 0000 Xxxxxx Xxxxxx, Xxxxxxxxxx, Xxxxxxxx 00000, in the County of New Castle. The Board of Managers may, from time to time, change the registered agent or office through appropriate filings with the Secretary of State.

  • Registered Office; Registered Agent The registered office of the Company in the State of Delaware will be the initial registered office designated in the Certificate or such other office (which need not be a place of business of the Company) as the Member may designate from time to time in the manner provided by law. The registered agent of the Company in the State of Delaware will be the initial registered agent designated in the Certificate, or such other person as the Member may designate from time to time in the manner provided by law. The principal office of the Company will be at such location as the Member may designate from time to time, which need not be in the State of Delaware.

  • Registered Agent and Registered Office The name of the registered agent of the Trust and the address of the registered office of the Trust are as set forth on the Certificate of Trust.

  • Company Registration If the Company proposes to register (including, for this purpose, a registration effected by the Company for stockholders other than the Holders) any of its securities under the Securities Act in connection with the public offering of such securities solely for cash (other than in an Excluded Registration), the Company shall, at such time, promptly give each Holder notice of such registration. Upon the request of each Holder given within twenty (20) days after such notice is given by the Company, the Company shall, subject to the provisions of Subsection 2.3, cause to be registered all of the Registrable Securities that each such Holder has requested to be included in such registration. The Company shall have the right to terminate or withdraw any registration initiated by it under this Subsection 2.2 before the effective date of such registration, whether or not any Holder has elected to include Registrable Securities in such registration. The expenses (other than Selling Expenses) of such withdrawn registration shall be borne by the Company in accordance with Subsection 2.6.