Compliance with NYSE Rules Sample Clauses

Compliance with NYSE Rules. There is and has been no failure on the part of the Company or, to the knowledge of the Company, any of the Company’s officers, directors or director nominees, in their capacities as such, to comply with (as and when applicable), and immediately following the initial effective date of the Registration Statement the Company will be in compliance with, the applicable requirements of the New York Stock Exchange Listed Company Manual. Further, there is and has been no failure on the part of the Company or, to the knowledge of the Company, any of the Company’s officers, directors or director nominees, in their capacities as such, to comply with (as and when applicable), and immediately following the initial effective date of the Registration Statement the Company will be in compliance with, the phase-in requirements and all other applicable provisions of the NYSE corporate governance requirements set forth in the New York Stock Exchange Listed Company Manual.
Sample 1Sample 2Sample 3See All (44)
AutoNDA by SimpleDocs
Compliance with NYSE Rules. There is and has been no failure on the part of the Company or, to the knowledge of the Company, any of the Company’s officers or directors, in their capacities as such, to comply with (as and when applicable), and immediately following the initial effective date of the Registration Statement the Company will be in compliance with, the requirements of the NYSE Listed Company Manual Section 303A.01. Further, there is and has been no failure on the part of the Company or, to the knowledge of the Company, any of the Company’s officers or directors, in their capacities as such, to comply with (as and when applicable), and immediately following the initial effective date of the Registration Statement the Company will be in compliance with, the phase-in requirements and all other provisions of the NYSE corporate governance requirements set forth in the NYSE Listing Company Manual.
Sample 1Sample 2Sample 3See All (14)
Compliance with NYSE Rules. There is and has been no failure on the part of the Company or, to the knowledge of the Company, any of the Company’s officers or directors, in their capacities as such, to comply with (as and when applicable), and immediately following the effective date of the IPO Prospectus, the Company will be in compliance with, NYSE Listed Company Manual Section 303A. Further, there is and has been no failure on the part of the Company or, to the knowledge of the Company, any of the Company’s officers or directors, in their capacities as such, to comply with (as and when applicable), and immediately following the effective date of the IPO Prospectus, the Company will be in compliance with, the phase-in requirements and all other provisions of the NYSE corporate governance requirements set forth in the NYSE Listed Company Manual.
Sample 1Sample 2Sample 3See All (8)
Compliance with NYSE Rules. There is and has been no failure on the part of the Company or, to the knowledge of the Company, any of the Company’s officers or directors, in their capacities as such, to comply with (as and when applicable), and immediately following the Effective Date, the Company will be in compliance with, NYSE Listed Company Manual Section 303A. Further, there is and has been no failure on the part of the Company or, to the knowledge of the Company, any of the Company’s officers or directors, in their capacities as such, to comply with (as and when applicable), and immediately following the Effective Date, the Company will be in compliance with, the phase-in requirements and all other provisions of the NYSE corporate governance requirements set forth in the NYSE Listed Company Manual.
Sample 1Sample 2Sample 3See All (4)
Compliance with NYSE Rules. There is and has been no failure on the part of the Company or, to the knowledge of the Company, any of the Company’s officers or directors, in their capacities as such, to comply with (as and when applicable), and immediately following the initial effective date of the Registration Statement the Company will be in compliance with, the applicable requirements of Section 303A and other applicable corporate governance requirements of the New York Stock Exchange Listed Company Manual.
Sample 1Sample 2
Compliance with NYSE Rules. 28.1 For as long as the Ordinary Shares are listed on the NYSE, the Company shall comply with all NYSE corporate governance and listing standards set forth in the NYSE Listed Company Manual applicable to non-controlled domestic U.S. issuers, regardless of whether the Company is a foreign private issuer.
Sample 1
Compliance with NYSE Rules. Whenever the responsibility for compliance -------------------------- with any Rule of the NYSE is allocated to TRIMARK under this Agreement, TRIMARK shall be responsible to NISC for such compliance to the same extent as if it were, and regardless of whether it actually is, a member firm of the NYSE. TRIMARK specifically agrees to be responsible for the supervision of its employees in accordance with NYSE Rule 342.
Sample 1
AutoNDA by SimpleDocs
Compliance with NYSE Rules. The maximum number of shares of Common Stock that RGF may issue, in the aggregate, to Holders of Purchase Rights is limited to 19.99% of the outstanding Shares of Common Stock less all Shares of Common Stock issued and issuable to holders of the RGF Warrants issued pursuant to the Securities Purchase Agreement, unless the Company obtains shareholder approval as required by NYSE Rules 312.03 and 312.04 (the “NYSE Rules”). To the extent that the aggregate number of Shares of Common Stock issued and issuable pursuant to exercise of all RGF Warrants is less than 20% of the outstanding Shares of Common Stock as calculated under the NYSE Rules, RAC may elect to settle Purchase Rights for Shares of Common Stock or cash, and in all other events, RAC shall elect to issue cash to the Holders of the Purchase Rights, provided in no event shall RAC or RGF have any right or obligation to issue Shares of Common Stock in settlement of the Purchase Rights that would necessitate approval of the Company’s shareholders under the NYSE Rules. RAC shall provide the Holders of Purchase Rights with all calculations under this Section 6.5, including the maximum number of Purchase Rights that can be settled for shares of RGF Common Stock, and provide such Holders notice of RAC’s method of settlement upon receipt of a notice of demand for an Appraisal by a Demanding Holder.
Sample 1
Compliance with NYSE Rules. (a) The maximum number of Share that RGF may issues, in the aggregate, to holders of RGF Warrants and Purchase Rights is limited to 19.99% of the outstanding Shares of RGF Class B Common Stock, unless the Company obtains shareholder approval as required by NYSE Rules 312.03 and 312.04 (the “NYSE Rules”). To the extent that the maximum number of RGF Warrant Shares issuable pursuant to exercise of all RGF Warrants issued in connection with this Agreement exceeds 19.99% of the outstanding shares of RGF Class B Common Stock and would require RGF shareholder approval under the NYSE Rules, RGF shall issue cash to the holders of the RGF Warrants at the time of exercise equal to the difference between the Exercise Price (as defined in the RGF Warrants) and the Fair Market Value (as defined in the RGF Warrant) at the time the Notice of Exercise is given, multiplied by the number of RGF Warrant Shares that cannot be exercised for RGF Class B Common Stock because of the limitation under the NYSE Rules. The Company shall provide the Holders (as defined in the RGF Warrants) of RGF Warrants with all calculations under this Section, and provide such Holders notice of the Company’s method of settlement upon receipt of a Notice of Exercise. (b) To the extent that the maximum number of RGF Warrant Shares issued and issuable pursuant to RGF Warrants, is less than 20% of the outstanding shares of RGF Common Stock and would not require RGF shareholder approval of the issuance of the RGF Warrant Shares under the NYSE Rules, RAC may exercise its rights under Section 3.6 of the Additional Purchase Rights Investment Agreement to deliver shares of RGF Class B Common Stock or cash; provided RAC is not permitted to, and shall not, make any election under the Additional Purchase Rights Investment Agreement that would necessitate RGF shareholder approval under the NYSE Rules with respect to any shares of RGF Class B Common Stock contemplated to be issues pursuant to the RGF Warrants and the Additional Purchase Rights Investment Agreement. (c) Neither RAC nor RGF will take any action except as contemplated in Section 10(a) above and in the RGF Warrants to limit the rights of Holders of RGF Warrants to exercise such Warrants for shares of RGF Class B Common Stock.
Sample 1

Related to Compliance with NYSE Rules

  • Compliance with Rules To comply with, and to require the Contractors to comply with, all rules, regulations, ordinances and laws bearing on the conduct of the work on the Improvements, including the requirements of any insurer issuing coverage on the Project and the requirements of any applicable supervising boards of fire underwriters.

  • COMPLIANCE WITH SEC RULES If, at any time during which AVIF is serving as an investment medium for variable life insurance Contracts, 1940 Act Rules 6e-3(T) or, if applicable, 6e-2 are amended or Rule 6e-3 is adopted to provide exemptive relief with respect to Mixed and Shared Funding, AVIF agrees that it will comply with the terms and conditions thereof and that the terms of this Section 5 shall be deemed modified if and only to the extent required in order also to comply with the terms and conditions of such exemptive relief that is afforded by any of said rules that are applicable.

  • Compliance with Nasdaq Rules There is and has been no failure on the part of the Company or, to the knowledge of the Company, any of the Company’s officers or directors, in their capacities as such, to comply with (as and when applicable), and immediately following the Effective Date, the Company will be in compliance with, Nasdaq Marketplace Rule IM-5605. Further, there is and has been no failure on the part of the Company or, to the knowledge of the Company, any of the Company’s officers or directors, in their capacities as such, to comply with (as and when applicable), and immediately following the Effective Date, the Company will be in compliance with, the phase-in requirements and all other provisions of The Nasdaq Stock Market LLC corporate governance requirements set forth in the Nasdaq Marketplace Rules.

  • Compliance with FINRA Rules The Company hereby agrees that it will ensure that the Reserved Securities will be restricted as required by FINRA or the FINRA rules from sale, transfer, assignment, pledge or hypothecation for a period of three months following the date of this Agreement. The Underwriters will notify the Company as to which persons will need to be so restricted. At the request of the Underwriters, the Company will direct the transfer agent to place a stop transfer restriction upon such securities for such period of time. Should the Company release, or seek to release, from such restrictions any of the Reserved Securities, the Company agrees to reimburse the Underwriters for any reasonable expenses (including, without limitation, legal expenses) they incur in connection with such release.

  • 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 Rules and Policies The Executive shall perform all services in accordance with the lawful policies, procedures and rules established by the Company and the Board. In addition, the Executive shall comply with all laws, rules and regulations that are generally applicable to the Company or its subsidiaries and their respective employees, directors and officers.

  • Compliance with Exchange Rules There is and has been no failure on the part of the Company or, to the knowledge of the Company, any of the Company’s officers or directors, in their capacities as such, to comply with (as and when applicable), and immediately following the Effective Date the Company will be in compliance with, the New York Stock Exchange Listed Company Manual. Further, there is and has been no failure on the part of the Company or, to the knowledge of the Company, any of the Company’s officers or directors, in their capacities as such, to comply with (as and when applicable), and immediately following the Effective Date the Company will be in compliance with, the phase-in requirements and all other applicable provisions of the New York Stock Exchange corporate governance requirements set forth in the New York Stock Exchange Listed Company Manual.

  • Compliance with Standards Although the standards for workmanship, material, and equipment have been selected in these specifications as a basis of reference, standards and specifications of the other bank member countries and recommendations of standards international organizations will be acceptable provided they are substantially equivalent to the designated standards and provided furthermore that the contractor submits for approval detailed specifications which he proposes to use. Reference to brand names or catalog numbers if any in these specifications have been made only for that equipment for which it has been determined that a degree of standardization is necessary to maintain certain essential features. And in certain cases such references have also been made for purposes of convenience to specify the requirements, in either case offers of alternative goods, which have similar characteristics and provide performance and quality at lease equal to those specified are acceptable. If the contractor offers materials, equipment, design calculations or tests, which conform to standards other than those specified, full details of the differences between the proposed standards and that specified in so far as they affect the design or purpose of the equipment, are to be supplied by the contractor if called upon to do so by the engineer, where required by the engineer for approval purposes, the contractor shall supply, without charge, duplicate copies of the proposed standards with English translations of the relevant portions. The contractor shall have available in his place of business (or in his supplier’s works) the relevant copies of standards or codes used for the use of the Engineer.

  • Compliance with FCPA Each of the Credit Parties and their Subsidiaries is in compliance with the Foreign Corrupt Practices Act, 15 U.S.C. §§ 78dd-1, et seq., and any foreign counterpart thereto. None of the Credit Parties or their Subsidiaries has made a payment, offering, or promise to pay, or authorized the payment of, money or anything of value (a) in order to assist in obtaining or retaining business for or with, or directing business to, any foreign official, foreign political party, party official or candidate for foreign political office, (b) to a foreign official, foreign political party or party official or any candidate for foreign political office, and (c) with the intent to induce the recipient to misuse his or her official position to direct business wrongfully to such Credit Party or its Subsidiary or to any other Person, in violation of the Foreign Corrupt Practices Act, 15 U.S.C. §§ 78dd-1, et seq.

  • 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.

Draft better contracts in just 5 minutes Get the weekly Law Insider newsletter packed with expert videos, webinars, ebooks, and more!