Compliance with Regulatory Requirements. The Borrower will, and the Guarantor will cause each Broker-Dealer Subsidiary to comply with all material rules and regulations of the SEC and FINRA applicable to it (including such rules and regulations dealing with net capital requirements); except where the failure to so comply is immaterial non-compliance with such rules and regulations.
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Samples: Credit Agreement (Investment Technology Group, Inc.), Credit Agreement (Investment Technology Group, Inc.), Credit Agreement (Investment Technology Group, Inc.)
Compliance with Regulatory Requirements. (a) The Borrower will, and the Guarantor will cause each Broker-Dealer Subsidiary to comply with all material rules and regulations of the SEC and FINRA applicable to it (including such rules and regulations dealing with net capital requirements); except where the failure to so comply is immaterial non-compliance with such rules and regulations.
Appears in 3 contracts
Samples: Credit Agreement (SWS Group Inc), Credit Agreement (SWS Group Inc), Funding Agreement (Hilltop Holdings Inc.)
Compliance with Regulatory Requirements. The Borrower will, and the Guarantor will cause each Broker-Dealer Subsidiary to comply with all material rules and regulations of the SEC and FINRA the NASD applicable to it (including such rules and regulations dealing with net capital requirements); except where the failure to so comply is immaterial non-compliance with such rules and regulations.
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Compliance with Regulatory Requirements. The Borrower will, and the Guarantor will cause each Broker-Dealer Subsidiary to comply with all material rules and regulations of the SEC and FINRA any other applicable domestic or foreign Governmental or Regulatory Authority applicable to it (including such rules and regulations dealing with net capital or other applicable requirements); , except where the failure to so comply is immaterial non-compliance with such rules and regulationswould not reasonably be expected to have a Material Adverse Effect.
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Compliance with Regulatory Requirements. The Borrower will, and the Guarantor will cause each Broker-Dealer Subsidiary to comply in all material respects with all material rules and regulations of the SEC and the FINRA applicable to it (including such rules and regulations dealing with net capital requirements); except where the failure to so comply is immaterial non-compliance with such rules and regulations.
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