Rules of FINRA Sample Clauses

Rules of FINRA. (a) In providing services hereunder, Distributor will comply with the Rules of FINRA, the federal securities laws and the rules thereunder and the securities laws and regulations of each state and other jurisdiction in which it sells, directly or indirectly, any Shares.
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Related to Rules of FINRA

  • Rules of NASD, etc Xxxxxx will conform to the Rules of Fair Practice of the National Association of Securities Dealers, Inc. and the sale of securities laws of any jurisdiction in which it sells, directly or indirectly, any shares. Xxxxxx also agrees to furnish to the Fund sufficient copies of any agreements or plans it intends to use in connection with any sales of shares in adequate time for the Fund to file and clear them with the proper authorities before they are put in use, and not to use them until so filed and cleared.

  • Rules of Procedure By referring any specific grievance to be dealt with in the expedited arbitration procedure it is understood and agreed that the matter is to be dealt with in accordance with the Rules of Procedure attached to this Agreement as Appendix 1.

  • Model Rules of Procedure 1. The procedure before the Panel shall be conducted in accordance with the Model Rules of Procedure set out in Annex 12 (Model Rules of Procedure). Exceptionally, the disputing Parties may agree on different rules to be applied by the Panel. 2. The Model Rules of Procedure are necessary for the good development of all the steps in this Chapter. In addition, these rules shall regulate the development of the procedure, pursuant to the following principles: (a) the procedures shall ensure the right to at least one hearing before the Panel, as well as the opportunity for each disputing Party to provide initial and rebuttal written submissions, and allow the use of any technological means to ensure its authenticity; and (b) the hearings before the Panel, the deliberations, as well as all the submissions and communications submitted during the hearings, shall be confidential. 3. If needed, the Panel shall, apart from the matters set out in this Article and in Annex 12 (Model Rules of Procedure), regulate its own procedures in relation to the settlement of the dispute in consultation with the Parties. 4. Unless otherwise agreed by the disputing Parties within 20 days following the establishment of the Panel, the terms of reference shall be: "To examine, in light of the relevant provisions of this Agreement, the matter referred to in the request for the establishment of a Panel pursuant to Article 177 (Request for a Panel) and to make findings of law and fact together with the reasons therefore for the resolution of the dispute, as well as a recommendation for its implementation, if needed."

  • Rules of Order Unless State law or Board-adopted rules apply, the Board President, as the presiding officer, will use Xxxxxx's Rules of Order, Newly Revised (11th Edition), as a guide when a question arises concerning procedure.

  • Rules of Conduct XO requires all passengers to strictly adhere to the following rules of conduct in order to ensure a safe, friendly and respectful experience on flights arranged by XO and at events organized or sponsored by XO. These rules are not intended to restrict the rights of anyone, but rather to ensure that all passengers, as well as XO and aircraft operator personnel, can expect to be safe and treated with dignity and respect at all times. If Passenger engages in conduct that XO considers improper, offensive or likely to risk endangering the safety of other passengers or XO or aircraft operator personnel, then Passenger may be reprimanded and/or denied transportation. All determinations will be made in the sole discretion of the operator of the Charter Flight (“Operator”) and XO’s management. In addition, if the conduct of Passenger endangers the aircraft or any other passenger or property while on board; obstructs or hinders the crew in the performance of their duties; fails to comply with any instruction of the crew, including, but not limited to, smoking in any form (including electronic cigarettes, vaporizers and similar devices) or use of drugs or alcohol; involves the use of any offensive, threatening, abusive or insulting words towards the crew, other passengers or XO personnel; or involves behavior which causes discomfort, inconvenience, damage or injury to the crew, other passengers or XO personnel, then the crew may take such measures as it deems necessary to prevent continuation of such conduct, including restraint. Passenger may be disembarked and refused onward carriage at any point and may be prosecuted for offenses committed on board the aircraft. The following rules of conduct will be strictly enforced.

  • Rules of Arbitration 1. Within 10 working days of receipt of the Federation's notice of its intent to arbitrate a grievance, the Federation shall call upon the Federal Mediation and Conciliation Service for a list of five potential arbitrators. The federation will provide the employer with a simultaneous copy of the arbitration panel request.

  • Certain Rules of Interpretation In this Agreement:

  • Rules of Origin No Party may apply rules of origin to goods imported or services supplied from another Party for purposes of government procurement covered by this Chapter that are different from, or inconsistent with, the rules of origin which that Party applies in the normal course of trade.

  • Rules of Grievance Processing 1. Time limits at any stage of the grievance procedure may be extended by mutual agreement of the parties at that step.

  • Rules of Interpretation The rules of interpretation specified in Section 1.02 of the Credit Agreement shall be applicable to this Agreement.

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