NO THREATENED SEC PROCEEDINGS Sample Clauses

NO THREATENED SEC PROCEEDINGS. To the knowledge of Seller, there is not currently pending or to the knowledge of the shareholders, threatened any inquiry, investigation, administrative proceeding, or civil action undertaken or initiated by the SEC concerning ▇▇▇▇▇▇ CAPITAL or its officers, directors, or registered representatives.
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NO THREATENED SEC PROCEEDINGS. LHF's registration as a Broker-Dealer is in good standing and, there is not currently pending or to the knowledge of the shareholders, threatened any inquiry, investigation, administrative proceeding, or civil action undertaken or initiated by the SEC concerning LHF or its officers, directors, or registered representatives.
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NO THREATENED SEC PROCEEDINGS. National Securities' registration as a Broker-Dealer is in good standing and, there is not currently pending or to the knowledge of Olympic, threatened any inquiry, investigation, administrative proceeding, or civil action undertaken or initiated by the SEC concerning National Securities or its officers, directors, or registered representatives.
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Related to NO THREATENED SEC PROCEEDINGS

  • No Litigation Threatened No action or proceedings shall have been instituted or threatened before a court or other government body or by any public authority to restrain or prohibit any of the transactions contemplated hereby.

  • No proceedings pending or threatened No litigation, arbitration or administrative proceedings of or before any court, arbitral body or agency which, if adversely determined, might reasonably be expected to have a Material Adverse Effect have (to the best of its knowledge and belief) been started or threatened against it or any of its Subsidiaries.

  • Investigations and Proceedings The parties to this Agreement agree to cooperate fully in any securities regulatory investigation or proceeding or any judicial proceeding with respect to each party’s activities under this Agreement and promptly to notify the other party of any such investigation or proceeding.

  • No Proceedings or Litigation No action, suit or proceeding before any arbitrator or any governmental authority shall have been commenced, and no investigation by any governmental authority shall have been threatened, against the Company or any Subsidiary, or any of the officers, directors or affiliates of the Company or any Subsidiary seeking to restrain, prevent or change the transactions contemplated by this Agreement, or seeking damages in connection with such transactions.

  • Litigation and Proceedings There are no actions, suits, -------------------------- proceedings or investigations pending or, to the knowledge of the Company after reasonable investigation, threatened by or against the Company or affecting the Company or its properties, at law or in equity, before any court or other governmental agency or instrumentality, domestic or foreign, or before any arbitrator of any kind. The Company has no knowledge of any default on its part with respect to any judgment, order, writ, injunction, decree, award, rule or regulation of any court, arbitrator, or governmental agency or instrumentality, or any circumstance which after reasonable investigation would result in the discovery of such default.