NASD Rules Sample Clauses
NASD Rules. The rules that are applicable to members of FINRA, including but not limited to the NASD Conduct Rules. Such rules do not include New York Stock Exchange Rules that FINRA has incorporated.
NASD Rules. Notwithstanding anything contained in this Warrant, the terms of this Warrant are intended to comply with the rules and regulations of the National Association of Securities Dealers, Inc. relating to the compensation of underwriters and placement agents, and any provision of this Warrant that is determined to be inconsistent with such rules shall be deemed to be modified to the extent necessary to comply with such rules.
NASD Rules. Notwithstanding the foregoing or anything contained herein to the contrary, in no event shall the Company pay or give or cause to be paid or given any compensation or incentives in excess of amounts permitted under applicable NASD rules or published guidance.
NASD Rules. To the extent the Contracts are sold by Company employees who are not National Association of Securities Dealers ("NASD") registered representatives, the Company agrees to comply, as if applicable, with the NASD Conduct Rules, or their successors, including NASD Notice to Members 97-27 related to market conduct such as recommendations to customers (suitability); use of manipulative, deceptive or other frandulent devices; and supervision.
NASD Rules. It is not registered as a broker-dealer under the Exchange Act.
NASD Rules. Any offering or invitation to the Dealer pursuant to the terms hereof is conditioned on the Dealer being qualified under applicable securities laws, if any, to act as a broker or dealer in securities, and being a member in good standing of the National Association of Securities Dealers, Inc. The Dealer agrees to be bound by the rules of the National Association of Securities Dealers, Inc. and represents and warrants that it is registered as a broker-dealer and will continue to be so registered during the term of this Agreement under the applicable state and federal securities laws. The Dealer hereby acknowledges that in so acting it is the Dealer's responsibility to, and the Dealer hereby certifies that it shall, comply with all applicable rules and regulations binding upon broker-dealers in connection with the distribution of Trust shares and the receipt of compensation therefore, including without limitation all applicable state and federal laws and rules and regulations of regulatory authorities or self-regulatory organizations. The Dealer agrees that it will establish rules, procedures, supervisory and inspection techniques as necessary to diligently supervise the activities of its registered representatives who may act in connection with the distribution of Trust shares.