Status Under Securities Laws Sample Clauses

Status Under Securities Laws. The Company shall maintain its status as a registered “investment adviser”, under (a) the Investment Advisers Act of 1940 and (b) under the laws of each state in which such registration is required in connection with the investment advisory business of the Company and, as to (b) only, where a failure to obtain such registration would be likely to have a Material Adverse Effect. The Company shall cause Alliance Distributors (i) to maintain its status as a registered “broker/dealer” under the Securities Exchange Act of 1934 and under the laws of each state in which such registration is required in connection with the business of Alliance Distributors and where a failure to obtain such registration would be likely to have a Material Adverse Effect, and (ii) to maintain its membership in the Financial Industry Regulatory Authority, Inc. The Company shall cause Xxxxxxx Xxxxxxxxx (i) to maintain its status as a registered “broker/dealer” under the Securities Exchange Act of 1934 and under the laws of each state in which such registration is required in connection with the business of Xxxxxxx Xxxxxxxxx and where a failure to obtain such registration would be likely to have a Material Adverse Effect and (ii) to maintain its membership in the Financial Industry Regulatory Authority, Inc.
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Status Under Securities Laws. The Borrower shall maintain its status as a registered "investment adviser", under (a) the Investment Advisers Act of 1940 and (b) under the laws of each state in which such registration is required in connection with the investment advisory business of the Borrower and, as to (b) only, where a failure to obtain such registration would be likely to have a Material Effect. The Borrower shall cause Alliance Distributors to maintain its status as a registered "broker/dealer" under the Securities Exchange Act of 1934 and under the laws of each state in which such registration is required in connection with the business of Alliance Distributors and where a failure to obtain such registration would be likely to have a Material Effect, and to maintain its membership in the National Association of Securities Dealers, Inc.
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Status Under Securities Laws. The US Guarantor shall maintain its status as a registered “investment adviser”, under (a) the Investment Advisers Act of 1940 and (b) under the laws of each state in which such registration is required in connection with the investment advisory business of the US Guarantor and, as to (b) only, where a failure to obtain such registration would be likely to have a Material Adverse Effect. The US Guarantor shall cause Alliance Distributors (i) to maintain its status as a registered “broker/dealer” under the Securities Exchange Act of 1934 and under the laws of each state in which such registration is required in connection with the business of Alliance Distributors and where a failure to obtain such registration would be likely to have a Material Adverse Effect, and (ii) to maintain its membership in the Financial Industry Regulatory Authority, Inc.
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Status Under Securities Laws. The Borrower shall maintain ---------------------------- its status as a registered "investment adviser" under (a) the Investment Advisers Act of 1940 and (b) under the laws of each state in which such registration is required in connection with the investment advisory business of the Borrower. The Borrower shall cause PIMCO Funds Distributors LLC or another Subsidiary of the Borrower to maintain its status as a registered "broker/dealer" under the Securities Exchange Act of 1934 and under the laws of each state in which such registration is required in connection with the business of PIMCO Funds Distributors LLC or another Subsidiary of the Borrower, and to maintain its membership in the National Association of Securities Dealers, Inc.
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Status Under Securities Laws. It is a “qualified institutional buyer” as defined in Rule 144A under the Securities Act. It is a “qualified purchaser” as defined in Section 3(c)(7) of the Investment Company Act and Rule 2a-51 promulgated thereunder.
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Status Under Securities Laws. The Purchaser is a reporting issuer (or the equivalent thereof) in good standing under the securities Laws of the provinces of Quebec, Ontario, Manitoba, Saskatchewan, Alberta and British Columbia.
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Status Under Securities Laws. This Note and the Conversion Shares: (i) constitute “restricted securities” within the meaning of Rule 144 under the Securities Act; and (ii) have not been registered under the Securities Act or the securities laws of any other state, country, or province. The Company is under no obligation to register this Note or the Conversion Shares under the Securities Act or the securities laws of any other state, country, or province, or to take any action that would make available any exemption from such registration.
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Status Under Securities Laws. The Company will maintain its status as a registered "investment adviser" under the Investment Advisers Act and under the laws of each state in which such registration is required in connection with the business of the Company, and also will cause Mackenzie Funds Distribution to maintain its status as a registered "broker/dealer" under the Securities Exchange Act of 1934, as amended, and under the laws of each state in which such registration is required in connection with its business and its membership in the National Association of Securities Dealers, Inc., and will maintain or cause to be maintained all other registrations, qualifications, licenses, approvals, authorizations, permits and memberships as may be required in connection with the business of the Company or any Subsidiary of the Company as now conducted or at any time may be conducted.
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Status Under Securities Laws 
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Related to Status Under Securities Laws

  • Status under the Securities Act The Company was not and is not an ineligible issuer as defined in Rule 405 under the Securities Act at the times specified in Rules 164 and 433 under the Securities Act in connection with the offering of the Placement Shares.

  • Securities Laws Upon the acquisition of any Shares pursuant to the exercise of the Option, the Participant will make or enter into such written representations, warranties and agreements as the Committee may reasonably request in order to comply with applicable securities laws or with this Agreement.

  • Compliance with Securities Laws (i) The Holder of this Warrant, by acceptance hereof, acknowledges that this Warrant and the shares of Warrant Stock to be issued upon exercise hereof are being acquired solely for the Holder's own account and not as a nominee for any other party, and for investment, and that the Holder will not offer, sell or otherwise dispose of this Warrant or any shares of Warrant Stock to be issued upon exercise hereof except pursuant to an effective registration statement, or an exemption from registration, under the Securities Act and any applicable state securities laws.

  • Continued Compliance with Securities Laws If, at any time when a prospectus relating to the Offered Securities is (or but for the exemption in Rule 172 would be) required to be delivered under the Act by any Underwriter or dealer, any event occurs as a result of which the Final Prospectus as then amended or supplemented would include an untrue statement of a material fact or omit to state any material fact necessary to make the statements therein, in the light of the circumstances under which they were made, not misleading, or if it is necessary at any time to amend the Registration Statement or supplement the Final Prospectus to comply with the Act, the Company will promptly notify the Representatives of such event and will promptly prepare and file with the Commission and furnish, at its own expense, to the Underwriters and the dealers and any other dealers upon request of the Representatives, an amendment or supplement which will correct such statement or omission or an amendment which will effect such compliance. Neither the Representatives’ consent to, nor the Underwriters’ delivery of, any such amendment or supplement shall constitute a waiver of any of the conditions set forth in Section 7 hereof.

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