Regulatory Reports and Records Sample Clauses

Regulatory Reports and Records. Broker shall prepare, submit, and maintain copies of all reports, records, and regulatory filings required of Broker by any entity that regulates it, including, but not limited to, copies of all account agreements and similar documentation obtained pursuant to Paragraph 5.0 of this Agreement and any reports and records required to be made or kept under the Currency and Foreign Transactions Reporting Act of 1970, (the "Bank Secrecy Act"), and any rules and regulations promulgated pursuant thereto.
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Regulatory Reports and Records. Broker shall prepare, submit, and maintain copies of all reports, records, and regulatory filings required of Broker by any entity that regulates it, including, but not limited to, copies of all account agreements and similar documentation obtained pursuant to Paragraph 5 of this Agreement and any reports and records required to be made or kept under the Currency and Foreign Transactions Reporting Act of 1970, (the "Bank Secrecy Act"), and any rules and regulations promulgated pursuant thereto.
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Regulatory Reports and Records. Introducing Firm shall prepare, submit, and maintain copies of all reports, records, and regulatory filings required of Introducing Firm by any entity that regulates it, including, but not limited to, copies of all account agreements and similar documentation obtained pursuant to Section 4 of this Agreement and any reports and records required to be made or kept under the Currency and Foreign Transactions Reporting Act of 1970 (the “Bank Secrecy Act”) and any rules and regulations promulgated pursuant thereto.
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Regulatory Reports and Records. Broker shall prepare, submit, and maintain copies of all reports, records, and regulatory filings required of Broker by any entity that regulates it, including, but not limited to, copies of all account agreements and similar documentation obtained pursuant to paragraph 5.0 of this Agreement and any reports and records required to be made or kept under the Currency and Foreign Transactions Reporting Act of 1970, the Money Laundering Act of 1986, and any rules and regulations promulgated pursuant thereto. To the extent that Pershing is required to prepare or submit any reports or records by any entity that regulates it, Broker shall cooperate in providing Pershing with any information needed in order to prepare such reports or records.
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Regulatory Reports and Records. Broker agrees to promptly provide to BNYCS, throughout the term of this Agreement, true, complete and correct copies of (i) any amendments to Broker's Form BD within five (5) calendar days of its filing with the SEC, (ii) any notices which Broker receives concerning any referral pursuant to Section 5(a) of the Securities Investor Protection Act of 1970 or any closer-than-normal surveillance or restrictions or limitations on Broker's business from the SEC or from any SRO, all within three (3) business day of Broker's receipt thereof, (iii) any action, suit, investigation, inquiry or proceeding, pending or threatened, against or affecting Broker or that is reasonably expected to have a material impact on the capital or financial condition of Broker, by or before any court, arbitrator, governmental authority or SRO of which Broker is a member, all within three (3) business days of Broker's receipt thereof, and (iv) any notices which Broker files with the SEC or any SRO pursuant to Section 17 of the Exchange Act and Rule 17a-11 at the same time and in the same manner as required under said Rule. In addition, Broker shall provide to BNYCS, on a quarterly basis, true, complete and correct copies of Broker's then current FOCUS Report and annual certified financial statement required pursuant to the Exchange Act.
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Regulatory Reports and Records. Broker agrees to promptly provide to ConvergEx throughout the term of this Agreement, true, complete and correct copies of (i) any amendments to Broker’s Form BD within five (5) calendar days of its filing with the SEC, (ii) any notices that Broker receives concerning any referral pursuant to Section 5(a) of the Securities Investor Protection Act of 1970 or any closer-than-normal surveillance or restrictions or limitations on Broker’s business from the SEC or from any SRO, all within one (1) business day of Broker’s receipt thereof, (iii) any action, suit, investigation, inquiry or proceeding, pending or threatened, against or affecting Broker or having a material impact on the capital or financial condition of Broker, by or before any court, arbitrator, governmental authority or SRO of which Broker is a member, all within three (3) business days of Broker’s receipt thereof, and (iv) any notices which Broker files with the SEC or any SRO pursuant to Section 17 of the Exchange Act and Rule 17a-11 at the same time and in the same manner as required under said Rule. ConvergEx shall comply with all applicable requirements under FINRA Rule 4311. In addition, Broker shall provide to ConvergEx within 10 days of them being finalized true and complete copies of each quarterly FOCUS Report and annual certified financial statement required pursuant to the Exchange Act. For purposes of this section, in the event Broker is not required to register as a broker-dealer in the U.S.. it shall provide to ConvergEx the foreign regulations equivalents of the materials specified above.
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Related to Regulatory Reports and Records

  • Regulatory Reports Flagstar and each of the Flagstar Subsidiaries have timely filed (or furnished, as applicable) all reports, forms, correspondence, registrations and statements, together with any amendments required to be made with respect thereto, that they were required to file (or furnish, as applicable) since January 1, 2018 with any Governmental Entity, including any report, form, correspondence, registration or statement required to be filed (or furnished, as applicable) pursuant to the laws, rules or regulations of the United States, any state, any foreign entity or any Governmental Entity, and have paid all fees and assessments due and payable in connection therewith, except where the failure to file (or furnish, as applicable) such report, form, correspondence, registration or statement or to pay such fees and assessments would not reasonably be expected to have, either individually or in the aggregate, a Material Adverse Effect on Flagstar. Subject to Section 9.15 and except for normal examinations conducted by a Governmental Entity in the ordinary course of business of Flagstar and the Flagstar Subsidiaries, no Governmental Entity has initiated or has pending any proceeding or, to the knowledge of Flagstar, investigation into the business or operations of Flagstar or any of the Flagstar Subsidiaries since January 1, 2018, except where such proceedings or investigations would not reasonably be expected to have, either individually or in the aggregate, a Material Adverse Effect on Flagstar. Subject to Section 9.15, there (x) is no unresolved violation, criticism, or exception by any Governmental Entity with respect to any report or statement relating to any examinations or inspections of Flagstar or any of the Flagstar Subsidiaries, and (y) has been no formal or informal inquiries by, or disagreements or disputes with, any Governmental Entity with respect to the business, operations, policies or procedures of Flagstar or any of the Flagstar Subsidiaries since January 1, 2018, in each case, except as would not reasonably be expected to have, either individually or in the aggregate, a Material Adverse Effect on Flagstar.

  • Reports and Records The Custodian shall:

  • Regulatory Reporting Ultimus agrees to provide reports to the federal and applicable state authorities, including the SEC, and to the Funds’ Auditors. Applicable state authorities are those governmental agencies located in states in which the Fund is registered to sell shares.

  • Other Reports and Filings Promptly, copies of all financial information, proxy materials and other information and reports, if any, which the Borrower or any of its Subsidiaries shall file with the Securities and Exchange Commission (or any successor thereto) or deliver to holders of its Indebtedness pursuant to the terms of the documentation governing such Indebtedness (or any trustee, agent or other representative therefor).

  • Reports and Returns Seller shall promptly after the Closing prepare and file all reports and returns required by Legal Requirements relating to the business of Seller as conducted using the Assets, to and including the Effective Time.

  • Books and Records Reports (a) The Trustees shall keep a certified copy or duplicate original of this Trust Agreement on file at the office of the Trust and the office of the Administrator available for inspection at all reasonable times during its usual business hours by any Holder. The Trustees shall keep proper books of record and account for all the transactions under this Trust Agreement at the office of the Trust and the office of the Administrator, and such books and records shall be open to inspection by any Holder at all reasonable times during usual business hours. The Trustees shall retain all books and records in compliance with Section 31 of the Investment Company Act and the rules and regulations thereunder.

  • Environmental Reports and Audits As soon as practicable following receipt thereof, copies of all environmental audits and reports with respect to environmental matters at any Facility or which relate to any environmental liabilities of Holdings or its Subsidiaries which, in any such case, individually or in the aggregate, could reasonably be expected to result in a Material Adverse Effect;

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