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

Compliance with Registration Requirements; No Stop Order; No Objection from the FINRA. No order suspending the effectiveness of the Registration Statement shall have been issued and no proceedings for that purpose shall have been initiated or, to the knowledge of the Company or any Underwriter, threatened by the Commission, and any request of the Commission for additional information (to be included in the Registration Statement or the Prospectus or otherwise) shall have been complied with to the satisfaction of counsel to the Underwriters; and the FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.

Appears in 2 contracts

Sources: Underwriting Agreement (American Capital Strategies LTD), Underwriting Agreement (American Capital, LTD)