Common use of Compliance with Registration Requirements; No Stop Order; No Objection from FINRA Clause in Contracts

Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. (i) The Company shall have filed the Prospectus with the Commission (including the information required by Rule 430A under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act. (ii) No stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement or the Exchange Act Registration Statement or any post-effective amendment to the Exchange Act Registration Statement shall be in effect, and no proceedings for such purpose shall have been instituted or, to the knowledge of the Company, threatened by the Commission. (iii) FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.

Appears in 2 contracts

Sources: Underwriting Agreement (uniQure B.V.), Underwriting Agreement (uniQure B.V.)

Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after effectiveness of this Agreement and prior to each Closing Date: (i) The the Company shall have filed the Prospectus with the Commission (including the final pricing and any other information required by previously omitted pursuant to Rule 430A under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act.; (ii) No no stop order suspending the effectiveness of the Registration Statement Statement, or any post-effective amendment to the Registration Statement or the Exchange Act Registration Statement or any post-effective amendment to the Exchange Act Registration Statement Statement, shall be in effect, effect and no proceedings for such purpose shall have been instituted or, to the knowledge of the Company, or threatened by the Commission.Commission and any request on the part of the Commission for additional information shall have been complied with; and (iii) FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.

Appears in 1 contract

Sources: Underwriting Agreement (Energy West Inc)

Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. (i) The Company shall have filed the Prospectus with the Commission (including the information required by Rule 430A under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act. (ii) No stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement or the Exchange Act Registration Statement or any post-effective amendment to the Exchange Act Registration Statement shall be in effect, and and, to the knowledge of the Company, no proceedings for such purpose shall have been instituted or, to the knowledge of the Company, or threatened by the Commission. (iii) FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.

Appears in 1 contract

Sources: Underwriting Agreement (Affimed Therapeutics B.V.)

Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. (i) The For the period from and after the date of this Agreement and prior to the First Closing Date and, with respect to the Optional Shares, each Option Closing Date: i. the Company shall have filed the Prospectus with the Commission (including the information required by Rule 430A under the Securities Act430 Information) in the manner and within the time period required by Rule 424(b) under the Securities Act.; (ii) No . no stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement or the Exchange Act Registration Statement or any post-effective amendment to the Exchange Act Registration Statement Statement, shall be in effect, effect and no proceedings for such purpose shall have been instituted or, to the knowledge of the Company, or threatened by the Commission.; and (iii) . FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.

Appears in 1 contract

Sources: Underwriting Agreement (Triangle Petroleum Corp)

Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date of this Agreement and through and including the Closing Date and: (i) The Company shall have filed the Prospectus with the Commission (including the information required by previously omitted from the Registration Statement pursuant to Rule 430A 430B under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act. (ii) No stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement or the Exchange Act Registration Statement or any post-effective amendment to the Exchange Act Registration Statement shall be in effect, and no proceedings for such purpose shall have been instituted or, to the knowledge of the Company’s knowledge, threatened by the Commission. (iii) If a filing has been made with FINRA, FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.

Appears in 1 contract

Sources: Underwriting Agreement (VistaGen Therapeutics, Inc.)

Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. (i) The Company shall have filed the Prospectus with the Commission (including the information required by Rule 430A under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act. (ii) No stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement or the F-6 Registration Statement or any post-effective amendment to the F-6 Registration Statement or the Exchange Act Registration Statement or any post-effective amendment to the Exchange Act Registration Statement shall be in effect, and no proceedings for such purpose shall have been instituted or, to the knowledge of the Company, or threatened by the Commission. (iii) FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.

Appears in 1 contract

Sources: Underwriting Agreement (Nightstar Therapeutics LTD)

Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. (i) The For the period from and after the date of this Agreement and prior to the First Closing Date and, with respect to the Optional Shares, each Option Closing Date: i. the Company shall have filed the Prospectus with the Commission (including the information required by Rule 430A under 430 Information previously omitted from the Securities ActRegistration Statement) in the manner and within the time period required by Rule 424(b) under the Securities Act.; (ii) No . no stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement or the Exchange Act Registration Statement or any post-effective amendment to the Exchange Act Registration Statement Statement, shall be in effect, effect and no proceedings for such purpose shall have been instituted or, to the knowledge of the Company, threatened by the Commission.; and (iii) . FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.

Appears in 1 contract

Sources: Underwriting Agreement (Sanchez Energy Corp)