Compliance With FINRA Rule 5110 Sample Clauses

Compliance With FINRA Rule 5110. At the time the Registration Statement was declared effective by the SEC, and as of the date hereof and as of the Closing Date, the Company has (i) a 1934 Act reporting history in excess of 36 months and (ii) a non-affiliate, public common float of at least $100 million and annual trading volume of at least three million shares.
Sample 1Sample 2Sample 3See All (17)
AutoNDA by SimpleDocs
Compliance With FINRA Rule 5110. At the time the Registration Statement was declared effective by the SEC, and as of the date hereof and as of the Closing Date, the Company has a 1934 Act reporting history in excess of 36 months.
Sample 1Sample 2Sample 3See All (5)
Compliance With FINRA Rule 5110. Notwithstanding anything to the contrary contained in this Agreement, BII’s obligation to make payments to CGM pursuant to Section 6.B. and 6.C. of this Agreement shall not survive the termination of this Agreement to the extent such payments relate to closed-end investment companies and are prohibited by FINRA Rule 5110. Except as specifically set forth above, this letter agreement shall in no way amend or otherwise alter the other provisions of the Amended Dealer Agreement, which shall continue to remain in full force and effect in accordance with their terms. The validity, interpretation, construction and performance of this letter agreement shall be governed by the laws of the State of New York. This letter agreement may be executed in any number of counterparts, any one of which need not contain the signatures of more than one party, but all of such counterparts together shall constitute one agreement. Please confirm your acknowledgment of, and consent to, the terms of this letter agreement and the amendment of the Amended Dealer Agreement as described above by signing and returning a copy of this letter to the undersigned. Sincerely, BlackRock Investments, Inc. By: Name: Title: Citigroup Global Markets, Inc. Agreed to and accepted: Date:____________________________
Sample 1
Compliance With FINRA Rule 5110. At the time the Registration Statement was declared effective by the SEC, and as of the date hereof and as of the Closing Date, the Company has (i) a Exchange Act reporting history in excess of 36 months and (ii) an aggregate market value of voting stock held by non-affiliates of in excess of $150 million.
Sample 1

Related to Compliance With FINRA Rule 5110

  • Compliance with Rule 144 At the written request of the Warrantholder, who proposes to sell Preferred Stock issuable upon the exercise of the Warrant in compliance with Rule 144 promulgated by the Securities and Exchange Commission, the Company shall furnish to the Warrantholder, within ten days after receipt of such request, a written statement confirming the Company's compliance with the filing requirements of the Securities and Exchange Commission as set forth in such Rule, as such Rule may be amended from time to time.

  • Compliance with Rule 17g-5 Ford Credit has executed and delivered a written representation to each Rating Agency (as defined in the Terms Annex) that it will take the actions stated in paragraphs (a)(3)(iii)(A) through (E) of Rule 17g-5 under the Exchange Act (“Rule 17g-5”) for the Notes, and it has complied with each representation, other than any breach of the representations resulting from a breach by any Underwriter of the representations, warranties and agreements in Section 5(m) or (n).

Time is Money Join Law Insider Premium to draft better contracts faster.