NASD Rules Sample Clauses

NASD Rules. The rules that are applicable to members of FINRA, including but not limited to the NASD Conduct Rules. Such rules do not include New York Stock Exchange Rules that FINRA has incorporated.
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NASD Rules. Notwithstanding anything contained in this Warrant, the terms of this Warrant are intended to comply with the rules and regulations of the National Association of Securities Dealers, Inc. relating to the compensation of underwriters and placement agents, and any provision of this Warrant that is determined to be inconsistent with such rules shall be deemed to be modified to the extent necessary to comply with such rules.
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NASD Rules. Notwithstanding the foregoing or anything contained herein to the contrary, in no event shall the Company pay or give or cause to be paid or given any compensation or incentives in excess of amounts permitted under applicable NASD rules or published guidance.
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NASD Rules. To the extent the Contracts are sold by Company employees who are not National Association of Securities Dealers ("NASD") registered representatives, the Company agrees to comply, as if applicable, with the NASD Conduct Rules, or their successors, including NASD Notice to Members 97-27 related to market conduct such as recommendations to customers (suitability); use of manipulative, deceptive or other frandulent devices; and supervision.
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NASD Rules. It is not registered as a broker-dealer under the Exchange Act.
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NASD Rules. Any offering or invitation to the Dealer pursuant to the terms hereof is conditioned on the Dealer being qualified under applicable securities laws, if any, to act as a broker or dealer in securities, and being a member in good standing of the National Association of Securities Dealers, Inc. The Dealer agrees to be bound by the rules of the National Association of Securities Dealers, Inc. and represents and warrants that it is registered as a broker-dealer and will continue to be so registered during the term of this Agreement under the applicable state and federal securities laws. The Dealer hereby acknowledges that in so acting it is the Dealer's responsibility to, and the Dealer hereby certifies that it shall, comply with all applicable rules and regulations binding upon broker-dealers in connection with the distribution of Trust shares and the receipt of compensation therefore, including without limitation all applicable state and federal laws and rules and regulations of regulatory authorities or self-regulatory organizations. The Dealer agrees that it will establish rules, procedures, supervisory and inspection techniques as necessary to diligently supervise the activities of its registered representatives who may act in connection with the distribution of Trust shares.
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Related to NASD Rules

  • FINRA The Company shall advise the Representative (who shall make an appropriate filing with FINRA) if it is aware that any 10% or greater stockholder of the Company becomes an affiliate or associated person of a FINRA member participating in the distribution of the Public Securities.

  • NASD The Company shall advise the NASD if it is aware that any 5% or greater stockholder of the Company becomes an affiliate or associated person of an NASD member participating in the distribution of the Company's Public Securities.

  • NASD AFFILIATION Are you affiliated or associated with an NASD member firm (please check one): Yes _________ No __________ If Yes, please describe: _________________________________________________________ _________________________________________________________ _________________________________________________________ *If Subscriber is a Registered Representative with an NASD member firm, have the following acknowledgment signed by the appropriate party: The undersigned NASD member firm acknowledges receipt of the notice required by Article 3, Sections 28(a) and (b) of the Rules of Fair Practice. _________________________________ Name of NASD Member Firm By: ______________________________ Authorized Officer Date: ____________________________

  • Insiders’ NASD Affiliation Based on questionnaires distributed to such persons, except as set forth on Schedule 2.18.4, no officer, director or any beneficial owner of the Company's unregistered securities has any direct or indirect affiliation or association with any NASD member. The Company will advise the Representative and its counsel if it learns that any officer, director or owner of at least 5% of the Company's outstanding Common Stock is or becomes an affiliate or associated person of an NASD member participating in the offering.

  • HOUSE RULES RESIDENT shall comply with all house rules as stated on separate addendum, but which are deemed part of this rental agreement, and a violation of any of the house rules is considered a breach of this agreement.