Registered Broker-Dealer Sample Clauses

Registered Broker-Dealer. MP Securities is a broker-dealer registered with the Securities and Exchange Commission under the 1934 Act , is a member in good standing of FINRA, and is registered and/or qualified to act in each jurisdiction in which it is required to be registered and/or qualified to conduct its business and to perform its obligations under this Agreement;
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Registered Broker-Dealer. You represent that you are a broker-dealer registered under the 1934 Act.
Registered Broker-Dealer. The Agent is duly registered and qualified as a broker dealer in such jurisdictions and with such regulatory bodies as is necessary in order to legally carry out the Agent Services.
Registered Broker-Dealer. You represent that you are a broker or dealer registered under the Exchange Act. You agree to notify us immediately if you cease to be registered or licensed as a broker or dealer.
Registered Broker-Dealer. The Underwriter is registered as a broker-dealer with the Securities and Exchange Commission and is registered as a broker-dealer in the State of New York and is a member in good standing of the National Association of Securities Dealers, Inc.
Registered Broker-Dealer. As of the Closing Date, Second Street is a registered broker-dealer under the Securities Exchange Act of 1934, as amended.
Registered Broker-Dealer. The Purchaser is a registered broker dealer under the Exchange Act.
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Registered Broker-Dealer. The Agent is registered as a broker-dealer with the NASD.
Registered Broker-Dealer. NSC represents and warrants that it is duly registered as a broker-dealer under FINRA, the Exchange Act and the applicable statutes and regulations of each state in which the Placement Shares will be offered and sold, except such states in which NSC is exempt from registration or such registration is not otherwise required. NSC shall continue, for the term of this Agreement, to be duly registered as a broker-dealer under FINRA, the Exchange Act and the applicable statutes and regulations of each state in which the Placement Shares will be offered and sold, except such states in which NSC is exempt from registration or such registration is not otherwise required, during the term of this Agreement. NSC will comply with all applicable laws and regulations in connection with the Placement Shares, including but not limited to Regulation M under the Exchange Act.
Registered Broker-Dealer. Each of Wave, Archipelago Securities and Archipelago Trading is registered with the Commission as a broker-dealer under Section 15(b) of the Exchange Act, and is a member in good standing of the NASD. Each of Wave and Archipelago Securities is registered as a broker-dealer with each State in the United States of America and the District of Columbia and Puerto Rico.
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