NASD Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with letters, filings or other supplemental information provided to NASD Regulation Inc. pursuant to NASD Conduct Rule 2710 or 2720 is true, complete and correct.
Appears in 5 contracts
Samples: Underwriting Agreement (Lmi Aerospace Inc), Underwriting Agreement (Northwest Pipe Co), Underwriting Agreement (Claymont Steel Holdings, Inc.)
NASD Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the CompanyFund, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company Trustees in connection with letters, filings or other supplemental information provided to NASD Regulation Inc. pursuant to NASD Conduct Rule 2710 or 2720 the NASD's conduct rules is true, complete and correct.
Appears in 3 contracts
Samples: Underwriting Agreement (Alpine Total Dynamic Dividend Fund), Underwriting Agreement (Eaton Vance Tax-Managed Diversified Equity Income Fund), Underwriting Agreement (Calamos Global Dynamic Income Fund)
NASD Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company, its officers and directors and to the best knowledge of the Company by the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with letters, filings or other supplemental information provided to NASD Regulation Inc. pursuant to NASD Conduct Rule 2710 or 2720 is true, complete and correct.
Appears in 2 contracts
Samples: Underwriting Agreement (Power Medical Interventions, Inc.), Underwriting Agreement (Power Medical Interventions, Inc.)
NASD Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company, its officers and directors and and, to the best knowledge of the Company, the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with letters, filings or other supplemental information provided to NASD Regulation Inc. pursuant to NASD Conduct Rule 2710 or 2720 is true, complete and correct.
Appears in 2 contracts
Samples: Underwriting Agreement (NanoDynamics, Inc.), Underwriting Agreement (NanoDynamics, Inc.)
NASD Matters. All of the information (including, but not limited to, information regarding affiliations, security ownership and trading activity) provided to the Underwriters Underwriter or to counsel for the Underwriters Underwriter by the Company, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with letters, filings or other supplemental information provided to NASD Regulation Inc. pursuant to NASD Conduct Rule 2710 or 2720 is true, complete and correct.
Appears in 2 contracts
Samples: Underwriting Agreement (Arbor Realty Trust Inc), Management Agreement (Gramercy Capital Corp)
NASD Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with letters, filings or other supplemental information provided to NASD Regulation Inc. pursuant to NASD Conduct Rule 2710 or 2720 is true, complete and correct.
Appears in 2 contracts
Samples: Underwriting Agreement (Light Sciences Oncology Inc), Underwriting Agreement (Light Sciences Oncology Inc)
NASD Matters. All of the information (including, but not limited to, information regarding affiliations, security ownership and trading activity) provided to the Underwriters or to counsel for the Underwriters by the Company, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with letters, filings or other supplemental information provided to NASD Regulation Inc. pursuant to NASD Conduct Rule 2710 or 2720 is true, complete and correct.
Appears in 2 contracts
Samples: Management Agreement (Gramercy Capital Corp), Management Agreement (Arbor Realty Trust Inc)
NASD Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the CompanyFund, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company Trustees in connection with letters, filings or other supplemental information provided to NASD Regulation Inc. pursuant to NASD Conduct Rule 2710 or 2720 the NASD’s conduct rules is true, complete and correctcorrect in all material respects.
Appears in 2 contracts
Samples: Underwriting Agreement (Claymore/Guggenheim Strategic Opportunities Fund), Underwriting Agreement (Nuveen Multi-Currency Short-Term Government Income Fund)
NASD Matters. All of the information provided to the Underwriters Underwriter or to counsel for the Underwriters Underwriter by the CompanyFund, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company Trustees in connection with letters, filings or other supplemental information provided to NASD Regulation Inc. pursuant to NASD Conduct Rule 2710 or 2720 the NASD's conduct rules is true, complete and correct.
Appears in 2 contracts
Samples: Underwriting Agreement (Cornerstone Progressive Return Fund), Underwriting Agreement (Cornerstone Progressive Return Fund)
NASD Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the CompanyFund, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company Trustees in connection with letters, filings or other supplemental information provided to NASD Regulation Inc. pursuant to NASD Conduct Rule 2710 or 2720 is the NASD's conduct rules is, to the knowledge of the Fund and the Advisers, true, complete and correct.
Appears in 1 contract
Samples: Underwriting Agreement (Eaton Vance Tax-Managed Global Diversified Equity Income Fund)
NASD Matters. All of the information provided to the Underwriters Underwriter or to counsel for the Underwriters Underwriter by the Company, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with letters, filings or other supplemental information provided to NASD Regulation Inc. pursuant to NASD Conduct Rule 2710 or 2720 is true, complete and correct.
Appears in 1 contract
NASD Matters. All of the information provided to the Underwriters Underwriter or to counsel for the Underwriters Underwriter by the Company, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with letters, filings or other supplemental information provided to NASD Regulation Regulation, Inc. pursuant to NASD Conduct Rule 2710 or 2720 is true, complete and correct.
Appears in 1 contract
Samples: Ladish Co Inc
NASD Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the CompanyFund, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company Trustees in connection with letters, filings or other supplemental information provided to NASD Regulation Inc. pursuant to NASD Conduct Rule 2710 or 2720 the NASD’s conduct rules is true, complete and correct.
Appears in 1 contract
Samples: Underwriting Agreement (Calamos Global Dynamic Income Fund)
NASD Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the CompanyIssuer, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with letters, filings or other supplemental information provided to NASD Regulation Inc. pursuant to NASD Conduct Rule 2710 or 2720 the NASD’s conduct rules is true, complete and correct.
Appears in 1 contract
NASD Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company, Trust and its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company Trustees in connection with letters, filings or other supplemental information provided to NASD Regulation Inc. pursuant to NASD Conduct Rule 2710 or 2720 the NASD’s conduct rules is true, complete and correctcorrect in all material respects.
Appears in 1 contract
Samples: Underwriting Agreement (BlackRock International Growth & Income Trust)
NASD Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the CompanyPartnership, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company Partnership in connection with letters, filings or other supplemental information provided to NASD Regulation Inc. pursuant to NASD Conduct Rule 2710 or 2720 is true, complete and correct.
Appears in 1 contract
Samples: Legacy Reserves L P
NASD Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with letters, filings or other supplemental information provided to the NASD Regulation Inc. pursuant to NASD Conduct Rule 2710 or 2720 is true, complete and correct.
Appears in 1 contract
NASD Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with letters, filings or other supplemental information provided to NASD Regulation Regulation, Inc. pursuant to NASD Conduct Rule 2710 or 2720 is true, complete and correct.
Appears in 1 contract
Samples: Underwriting Agreement (Sanders Morris Harris Group Inc)
NASD Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company, its officers and directors and and, to the Company's knowledge, the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with letters, filings or other supplemental information provided to the NASD Regulation Inc. pursuant to NASD Conduct Rule 2710 or 2720 is true, complete and correct.
Appears in 1 contract
Samples: Emageon Inc
NASD Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company, Trust and its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with letters, filings or other supplemental information provided to NASD Regulation Inc. pursuant to NASD Conduct Rule 2710 or 2720 the NASD’s conduct rules is true, complete and correct.
Appears in 1 contract
Samples: Underwriting Agreement (BlackRock Real Asset Equity Trust)
NASD Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company in connection with letters, filings or other supplemental information provided to NASD Regulation, Inc. pursuant to NASD Conduct Rule 2710 or 2720 is true, complete and correct; and all such information provided by the Company, its ’s officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with lettersis, filings or other supplemental information provided to NASD Regulation Inc. pursuant to NASD Conduct Rule 2710 or 2720 is the Company’s knowledge, true, complete and correct.
Appears in 1 contract
Samples: Underwriting Agreement (Volcom Inc)
NASD Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the CompanyFund, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company Trustees in connection with letters, filings or other supplemental information provided to NASD Regulation Inc. pursuant to NASD Conduct Rule 2710 or 2720 is the NASD’s conduct rules is, to the knowledge of the Fund and the Advisors, true, complete and correctcorrect in all material respects.
Appears in 1 contract
Samples: Underwriting Agreement (Evergreen Global Dividend Opportunity Fund)
NASD Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company, Partnership and its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with letters, filings or other supplemental information provided to NASD Regulation Inc. pursuant to NASD Conduct Rule 2710 or 2720 is true, complete and correct.
Appears in 1 contract
NASD Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with letters, filings or other supplemental information provided to the NASD Regulation Inc. pursuant to NASD Conduct Rule 2710 or 2720 is true, complete and correct.
Appears in 1 contract
Samples: Underwriting Agreement (Carrols Restaurant Group, Inc.)
NASD Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the CompanyFund, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company Trustees in connection with letters, filings or other supplemental information provided to NASD Regulation Inc. pursuant to NASD Conduct Rule 2710 or 2720 is the NASD’s conduct rules is, to the knowledge of the Fund, true, complete and correctcorrect in all material respects.
Appears in 1 contract
Samples: Underwriting Agreement (Dividend Capital Strategic Global Realty Fund)
NASD Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with letters, filings or other supplemental information provided to NASD Regulation Inc. pursuant to NASD Conduct Rule 2710 or 2720 is true, complete and correctcorrect in all material respects.
Appears in 1 contract
NASD Matters. All of the information provided to the Underwriters Underwriter or to counsel for the Underwriters Underwriter by the Company, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company Selling Shareholder in connection with letters, filings or other supplemental information provided to NASD Regulation Regulation, Inc. pursuant to NASD Conduct Rule 2710 or 2720 is true, complete and correct.
Appears in 1 contract
Samples: Ladish Co Inc
NASD Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company in connection with letters, filings or other supplemental information provided to NASD Regulation, Inc. pursuant to NASD Conduct Rule 2710 or 2720 is true, complete and correct; and all such information provided by the Company, its 's officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with lettersis, filings or other supplemental information provided to NASD Regulation Inc. pursuant to NASD Conduct Rule 2710 or 2720 is the Company's knowledge, true, complete and correct.
Appears in 1 contract
Samples: Volcom Inc
NASD Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Parent, the Company, its their respective officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company or the Parent in connection with letters, filings or other supplemental information provided to NASD Regulation Inc. pursuant to NASD Conduct Rule 2710 or 2720 is true, complete and correct.
Appears in 1 contract
Samples: Underwriting Agreement (NUCRYST Pharmaceuticals Corp.)
