Material Compliance with Rules and Regulations Sample Clauses

Material Compliance with Rules and Regulations. Broker and each of its employees is in material compliance with, and during the term of this Agreement shall remain in material compliance with, the registration, qualification, capital, financial reporting, customer protection, and other requirements of every self-regulatory organization of which Broker is a member, of the SEC, and of every state to the extent that Broker or any of its employees is subject to the jurisdiction of that state.
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Material Compliance with Rules and Regulations. Introducing Firm and, to its knowledge, each of its employees is in material compliance with, and during the term of this Agreement shall remain in material compliance with, the registration, qualification, capital, financial reporting, customer protection, and other requirements of every self-regulatory organization of which Introducing Firm is a member, of the SEC, and of every state to the extent that Introducing Firm or any of its employees is subject to the jurisdiction of that state.
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Material Compliance with Rules and Regulations. Broker and, to the best of its knowledge, each of its employees executive officers, directors, general securities principals in charge of one of Broker’s principal divisions, and Chief Financial and Operation Principals (the aforementioned individuals collectively referred to as the “Broker Executives”) is in material compliance with, and during the term of this Agreement shall remain in material compliance with, the registration, qualification, capital, financial reporting, customer protection, and other requirements of every self-regulatory organization of which Broker is a member, of the SEC, and of every state to the extent that Broker or any of the Broker Executives is subject to the jurisdiction of that state.
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Material Compliance with Rules and Regulations. Such party and its affiliates and, to such party’s knowledge, each of their respective employees, are in material compliance with, and during the term of this Agreement shall remain in material compliance with, the registration, qualification, customer protection, and all other rules and regulations of every governmental, quasi-governmental, agency and self-regulatory authority to which it or any of its employees is subject (all of the laws, rules and regulations referred to in Sections 2.1.2, 2.1.3 and
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Material Compliance with Rules and Regulations. Such party and its affiliates and, to such party’s knowledge, each of their respective employees, are in material compliance with, and during the term of this Agreement shall remain in material compliance with, the registration, qualification, customer protection, and all other rules and regulations of every governmental, quasi-governmental, agency and self-regulatory authority to which it or any of its employees is subject (all of the laws, rules and regulations referred to in Sections 2.1.2, 2.1.3 and this 2.1.4, as well as all other laws, rules or regulations applicable to either party’s business or the transactions or activities contemplated by this Agreement, are collectively referred to as “Rules”); provided, however, such party shall not be in breach of this representation and warranty if it or its affiliate (as applicable) remedies any material violation that occurs within a reasonable time following notice or discovery thereof.
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Related to Material Compliance with Rules and Regulations

  • Compliance with Rules and Regulations PFPC undertakes to comply with all applicable requirements of the Securities Laws and any laws, rules and regulations of governmental authorities having jurisdiction with respect to the duties to be performed by PFPC hereunder. Except as specifically set forth herein, PFPC assumes no responsibility for such compliance by the Fund or any other entity.

  • Compliance with OFAC Rules and Regulations None of the Credit Parties or their Subsidiaries or their respective Affiliates (a) is a Sanctioned Person, (b) has more than 15% of its assets in Sanctioned Countries, or (c) derives more than 15% of its operating income from investments in, or transactions with Sanctioned Persons or Sanctioned Countries. No part of the proceeds of any Extension of Credit hereunder will be used directly or indirectly to fund any operations in, finance any investments or activities in or make any payments to, a Sanctioned Person or a Sanctioned Country.

  • Compliance with Laws, Rules and Regulations a. Assurances. The Contractor agrees that all activity pursuant to this Contract will be in accordance with all applicable current federal, state and local laws, rules, and regulations, including but not limited to the Public Records Act (chapter 42.56 RCW), the Freedom of Information Act (5 U.S.C. 522) and the Records Retention Act (chapter 40.14 RCW).

  • Compliance with Governmental Rules and Regulations Except as otherwise provided in the Agreement and except for the accuracy and timeliness of information furnished to the Funds by Price Associates or its Delegates, each Fund assumes full responsibility for the preparation, contents and distribution of its prospectuses, and for complying with all applicable requirements of the ’40 Act, the ‘34 Act, the Securities Act of 1933 (“the ‘33 Act”), the Internal Revenue Code (“IRC”), and any laws, rules and regulations of governmental authorities having jurisdiction over the Fund.

  • Compliance with Applicable Laws, Rules and Regulations The Dealer Manager represents to the Company that (a) it is a member of FINRA in good standing, and (b) it and its employees and representatives who will perform services hereunder have all required licenses and registrations to act under this Agreement. With respect to its participation and the participation by each Participating Dealer in the offer and sale of the Offered Shares (including, without limitation, any resales and transfers of Offered Shares), the Dealer Manager agrees, and, by virtue of entering into the Participating Dealer Agreement, each Participating Dealer shall have agreed, to comply with any applicable requirements of the Securities Act and the Exchange Act, applicable state securities or blue sky laws, and, specifically including, but not in any way limited to, NASD Conduct Rules 2340 and 2420, and FINRA Conduct Rules 2310, 5130 and 5141.