NASD Rules of Fair Practice Sample Clauses

POPULAR SAMPLE Copied 1 times
NASD Rules of Fair Practice. As the NASD views the Offered Units as interests in a direct participation program, any Underwriter agrees that it will offer the Offered Units in compliance with Rule 2810 of the NASD’s Conduct Rules.
View SourceView Similar (4)
NASD Rules of Fair Practice. As the National Association of Securities Dealers, Inc. ("NASD") views the Offered Units as interests in a direct participation program, any Underwriter agrees that it will offer the Offered Units in compliance with Rule 2810 of the NASD's Conduct Rules.
View SourceView Similar (2)
NASD Rules of Fair Practice. As the National Association of Securities Dealers, Inc. ("NASD") views the Offered Units as interests in a direct participation program, any Underwriter agrees that it will offer the Offered Units in compliance with Rule 2810 of the NASD's Conduct Rules. Please confirm that the foregoing correctly sets forth the agreement among the Partnership, the Operating Partnership, the General Partner and the several Underwriters. Very truly yours, ENBRIDGE ENERGY PARTNERS, L.P. By: Enbridge Energy Company, Inc. General Partner By: /s/ JODY L. BALKO ----------------------------------- Name: Jody L. Balko ------------------------------ Title: Chief Accountant ----------------------------- ENBRIDGE ENERGY, LIMITED PARTNERSHIP By: Enbridge Energy Company, Inc. General Partner By: /s/ JODY L. BALKO ----------------------------------- Name: Jody L. Balko ------------------------------ Title: Chief Accountant ----------------------------- ENBRIDGE ENERGY COMPANY, INC. By: /s/ JODY L. BALKO ----------------------------------- Name: Jody L. Balko ------------------------------ Title: Chief Accountant ----------------------------- Confirmed as of the date first above mentioned on behalf of themselves and the other several Underwriters named in Schedule I hereto. SALOMON SMITH BARNEY INC. MERRILL LYNCH, PIERCE, FENNER & SMITH ▇▇▇▇▇▇ORATED A.G. E▇▇▇▇▇▇ & SONS, INC. B▇: ▇▇LOM▇▇ ▇▇ITH BARNEY INC. By: /s/ J▇▇▇ ▇. ▇▇▇▇▇K -------------------------------- John A. Ciolek ▇▇▇▇▇▇▇▇ SCHEDULE I ............... 1 012,▇▇▇ ▇▇▇▇▇▇▇ Lynch, Pierce, Fenner & Smith Incorporated..
View Source
NASD Rules of Fair Practice. As the National Association of --------------------------- Securities Dealers, Inc. ("NASD") views the Offered Units as interests in a direct participation program, each
View Source

Related to NASD Rules of Fair Practice

  • Rules of NASD, etc ▇▇▇▇▇▇ will conform to the Rules of Fair Practice of the National Association of Securities Dealers, Inc. and the sale of securities laws of any jurisdiction in which it sells, directly or indirectly, any shares. ▇▇▇▇▇▇ also agrees to furnish to the Fund sufficient copies of any agreements or plans it intends to use in connection with any sales of shares in adequate time for the Fund to file and clear them with the proper authorities before they are put in use, and not to use them until so filed and cleared.

  • PRINCIPLES OF GOOD EMPLOYMENT PRACTICE The Supplier shall, and shall procure that each Sub-Contractor shall, comply with any requirement notified to it by the Customer relating to pensions in respect of any Transferring Former Supplier Employee as set down in: the Cabinet Office Statement of Practice on Staff Transfers in the Public Sector of January 2000, revised 2007; HM Treasury's guidance “Staff Transfers from Central Government: A Fair Deal for Staff Pensions of 1999; HM Treasury's guidance: “Fair deal for staff pensions: procurement of Bulk Transfer Agreements and Related Issues” of June 2004; and/or the New Fair Deal. Any changes embodied in any statement of practice, paper or other guidance that replaces any of the documentation referred to in Paragraph 5.1 shall be agreed in accordance with the Variation Procedure.

  • Model Rules of Procedure The procedure before the Panel shall be conducted in accordance with the Model Rules of Procedure set out in Annex 12 (Model Rules of Procedure). Exceptionally, the disputing Parties may agree on different rules to be applied by the Panel. 2. The Model Rules of Procedure are necessary for the good development of all the steps in this Chapter. In addition, these rules shall regulate the development of the procedure, pursuant to the following principles: (a) the procedures shall ensure the right to at least one hearing before the Panel, as well as the opportunity for each disputing Party to provide initial and rebuttal written submissions, and allow the use of any technological means to ensure its authenticity; and (b) the hearings before the Panel, the deliberations, as well as all the submissions and communications submitted during the hearings, shall be confidential.

  • Rules of Procedure The proceedings and business of the Committee shall be governed by Robert's Rules of Order unless otherwise waived by the Committee.

  • Rules, Regulations and Policies Employee shall abide by and comply with all of the rules, regulations, and policies of Employer, including without limitation Employer's policy of strict adherence to, and compliance with, any and all requirements of the banking, securities, and antitrust laws and regulations.