Broker-Dealer Qualifications. The Broker-Dealer represents that it is a broker-dealer registered with the SEC under the 1934 Act, and is a member of the NASD. The Broker-Dealer must, at all times when performing its functions and fulfilling its obligations under this Agreement, be duly registered as a broker-dealer under the 1934 Act and in each state or other jurisdiction in which Broker-Dealer intends to perform its functions and fulfill its obligations hereunder and in which such registration is required, and be a member in good standing of the NASD.
Broker-Dealer Qualifications. The Broker-Dealer represents that it is a broker-dealer registered with the SEC under the 1934 Act, and is a member of FINRA. The Broker-Dealer must, at all times when performing its functions and fulfilling its obligations under this Agreement, be duly registered as a broker-dealer under the 1934 Act and in each state or other jurisdiction in which the Broker-Dealer intends to perform its functions and fulfill its obligations hereunder and in which such registration is required, and be a member in good standing of FINRA.
Broker-Dealer Qualifications. You are (and will continue to be during the term of this Agreement) a member in good standing of the NASD and agree to abide by the Rules of Fair Practice of such association. You are properly registered or licensed as a broker or dealer under applicable federal and state securities laws and regulations. You, your affiliates, and your or their officers and directors (or any other person serving in a similar capacity) have not taken or failed to take any act, and are not subject to any order or proceedings, that would make unavailable any limited offering exemption from registration or qualification requirements of state securities laws.
Broker-Dealer Qualifications. You are (and will continue to be during the term of this Agreement) a member in good standing of the NASD and agree to abide by the Rules of Fair Practice of such association. You are properly registered or licensed as a broker or dealer under applicable federal and state securities laws and regulations. You, your affiliates, and your or their officers and directors (or any other person serving in a similar capacity) have not taken or failed to take any act, and are not subject to any order or proceedings, that would make unavailable any limited offering exemption from registration or qualification requirements of applicable federal or state securities laws.
Broker-Dealer Qualifications. Axiom is (and will continue to be during the term of this Agreement) a member in good standing of FINRA and agree to abide by the Rules of Fair Practice of such association. Axiom is properly registered or licensed as a broker or dealer under applicable federal and state Securities laws and regulations. Axiom, its affiliates, and its or their officers and directors (or any other person serving in a similar capacity) have not taken or failed to take any act, and are not subject to any order or proceedings, that would make unavailable any limited offering exemption from registration or qualification requirements of applicable federal or state Securities laws.
Broker-Dealer Qualifications. The Wholesale Servicer warrants and represents that it is a broker-dealer registered with the United States Securities and Exchange Commission ("SEC") under the Securities Exchange Act of 1934, as amended (the "1934 ACT") and is a member in good standing of Financial Industry Regulatory Authority ("FINRA"). The Wholesale Servicer will, at all times during the term hereof, be duly registered as a broker-dealer under the 1934 Act and in each state or other jurisdiction in which it is required to be so registered to perform its functions and fulfill its obligations, and be a member in good standing of FINRA.
Broker-Dealer Qualifications. The BGA warrants and represents that the Broker-Dealer is a broker-dealer registered with the SEC under the 1934 Act and is a member of the NASD. The Broker-Dealer shall, at all times when performing its functions and fulfilling its obligations under this Agreement, be duly registered as a broker-dealer under the 1934 Act and in each state or other jurisdiction in which Broker-Dealer is performing its functions and fulfilling its obligations hereunder and in which such registration is required, and be a member in good standing of the NASD.
Broker-Dealer Qualifications. You are (i) a broker-dealer duly registered pursuant to the provisions of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), (ii) a member in good standing of the National Association of Securities Dealers, Inc. and (iii) duly registered as a broker-dealer under the applicable statutes and regulations of each state in which you will offer and sell the Shares, except such states in which you are exempt from registration or such registration is not otherwise required. You will maintain your registration in good standing, or your exemption from such registration, through the term of the offering and you will comply with all statutes and other requirements applicable to you with respect to your brokerage activities within those jurisdictions.
Broker-Dealer Qualifications. The Wholesale Servicer warrants and represents that it is a broker-dealer registered with the SEC under the 1934 Act, and is a member in good standing of FINRA. The Wholesale Servicer will, at all times during the term hereof, be duly registered as a broker-dealer under the 1934 Act and in each state or other jurisdiction in which it is required to be so registered to perform its functions and fulfill its obligations, and be a member in good standing of FINRA.
Broker-Dealer Qualifications. The Broker-Dealer warrants and represents that it is a broker-dealer registered with the United States Securities and Exchange Commission ("SEC") under the Securities Exchange Act of 1934 Act, as amended (the "1934 ACT") and is a member in good standing of the Financial Industry Regulatory Authority ("FINRA"). The Broker-Dealer will, at all times during the term hereof, be duly registered as a broker-dealer under the 1934 Act and in each state or other jurisdiction in which it is required to be so registered to perform its functions and fulfill its obligations, and be a member in good standing of FINRA.
