NASD Rule 1017 definition
Examples of NASD Rule 1017 in a sentence
FINRA shall have delivered to Securities Corp its written approval of Securities Corp’s Continuing Membership Application pursuant to FINRA (NASD) Rule 1017 in connection with the Merger and the other transactions contemplated hereby.
Without limitation to the foregoing, within 14 days of the execution of this Agreement, the Company will prepare and file Securities Corp’s Continuing Membership Application with FINRA pursuant to FINRA (NASD) Rule 1017 in connection with the Merger and the other transactions contemplated hereby.
FINRA shall have delivered to each Broker its approval of such Broker’s Continuing Membership Application pursuant to FINRA (NASD) Rule 1017 in connection with the transactions contemplated hereby.
Purchaser shall have received approval from the NASD for the consummation of the transactions contemplated hereby under NASD Rule 1017.
The Company or the appropriate Subsidiary shall have received approval from the NASD for the consummation of the transactions contemplated hereby under NASD Rule 1017.
Without limitation to the foregoing, within fourteen (14) days of the execution of this Agreement, the Company will prepare and file each Broker’s Continuing Membership Application with FINRA pursuant to FINRA (NASD) Rule 1017 in connection with the Merger and the other transactions contemplated hereby (unless such fourteenth (14th) day is not a Business Day, in which case such filing shall be made on or prior to the first Business Day immediately following such fourteenth (14th) day).
The Company and Parent shall cooperate to promptly cause to be filed after the date hereof with FINRA an application, or applications as required, under NASD Rule 1017 with respect to the Offer and the Merger (the “Rule 1017 Application(s)”).
In furtherance (and without limitation) of Section 6.8 above, each of Parent, Buyer and the Company agrees to promptly seek the approval of FINRA pursuant to NASD Rule 1017 in connection with this Agreement and the Merger and to cooperate regarding the preparation and filing of all necessary or appropriate filings with FINRA and the SEC (including Forms BD, BDW, U-4 and U-5, as applicable).
Immediately after the date hereof, the Sellers shall file, after review and approval by Buyer, an application with the NASD pursuant to NASD Rule 1017 for approval of the purchase of the Shares by Buyer and shall use its commercially reasonable efforts to obtain such approval prior to Closing.
Pledgor and Pledgee, on behalf of itself and the Noteholders, acknowledge that Pledgor, Pledgee and the Noteholders are aware that in case of an Event of Default, no transfer of 25% or more of the Pledged Shares under the terms of this Pledge Agreement may be effected unless and until such transfer has been approved by FINRA pursuant to NASD Rule 1017.