Regulatory Authority definition
Examples of Regulatory Authority in a sentence
The foregoing shall not be applicable to any information that is publicly available when provided or thereafter becomes publicly available other than through a breach of this Agreement, or that is required to be disclosed by or to any regulator of BBH&Co. or any Agent or Subcustodian, any Regulatory Authority, any auditor or attorney of the parties hereto, or by judicial or administrative process or otherwise by Applicable Law.
The Underwriters acknowledge and agree that the Placement Securities acquired by the Underwriters pursuant to the Purchase Agreement (as defined in Section 2.21.3) will be deemed compensation by the Financial Industry Regulatory Authority (“FINRA”) and will therefore be subject to lock-up for a period of one hundred and eighty (180) days beginning on the date of the commencement of sales of the Offering, subject to certain limited exceptions, pursuant to FINRA Rule 5110(e)(1).
Confirm, as to each Authorized Participant, its name, status as a U.S. registered broker-dealer in good standing with the Financial Industry Regulatory Authority (“FINRA”), U.S. taxpayer identification number and principal place of business, that it is not on any OFAC List and not a foreign shell bank.
Subject to the right of the Company to terminate this Agreement for cause pursuant to Rule 5110(g)(5)(B) of the Financial Industry Regulatory Authority, Inc.
The Company will, so long as Buyer owns any of the Securities, maintain the listing and trading of its Common Stock on the Principal Market or any equivalent replacement exchange or electronic quotation system (including but not limited to the Pink Sheets electronic quotation system) and will comply in all respects with the Company’s reporting, filing and other obligations under the bylaws or rules of the Financial Industry Regulatory Authority (“FINRA”) and such exchanges, as applicable.