Securities Law. Executive has not been found in a civil action by the Securities and Exchange Commission, Commodity Futures Trading Commission, a state securities authority or any other regulatory agency to have violated any federal, state or other securities or commodities law.
Appears in 28 contracts
Sources: Executive Employment Agreement, Executive Employment Agreement (Rosetta Stone Inc), Executive Employment Agreement (Rosetta Stone Inc)
Securities Law. The Executive has not been found in a civil action by the Securities and Exchange Commission, Commodity Futures Trading Commission, a state securities authority or any other regulatory agency to have violated any federal, state or other securities or commodities law.
Appears in 5 contracts
Sources: Executive Employment Agreement (Cadista Holdings Inc.), Executive Employment Agreement (Cadista Holdings Inc.), Senior Management Agreement (Lecg Corp)
Securities Law. The Executive has not been found guilty in a civil action by the Securities and Exchange Commission, Commodity Futures Trading Commission, a state securities authority or any other regulatory agency to have violated any federal, state or other securities or commodities law.
Appears in 1 contract