Common use of Compliance with Registration Requirements; No Stop Order; No Objection from FINRA Clause in Contracts

Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date of this Agreement and through and including the First Closing Date and, with respect to any Optional Shares purchased after the First Closing Date, each Option Closing Date: (i) The Company shall have filed the Prospectus with the Commission (including the information previously omitted from the Registration Statement pursuant to Rule 430B under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act. (ii) No stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement shall be in effect, and no proceedings for such purpose shall have been instituted or threatened by the Commission. (iii) If a filing has been made with FINRA, FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.

Appears in 16 contracts

Samples: Underwriting Agreement (Americas Carmart Inc), Underwriting Agreement (Esperion Therapeutics, Inc.), Underwriting Agreement (Iovance Biotherapeutics, Inc.)

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Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date of this Agreement and through and including prior to the First Closing Date and, with respect to any the Optional Shares purchased after the First Closing DateShares, each Option Closing Date: (ia) The the Company shall have filed the Prospectus with the Commission (including the information previously omitted from the Registration Statement pursuant to Rule 430B or Rule 430C under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act.; (iib) No no stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement Statement, shall be in effect, effect and no proceedings for such purpose shall have been instituted or threatened by the Commission.; and (iiic) If a filing has been made with FINRA, FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.

Appears in 4 contracts

Samples: Underwriting Agreement (Davidson Charles E), Underwriting Agreement (Gastar Exploration LTD), Underwriting Agreement (Gulfport Energy Corp)

Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date effectiveness of this Agreement and through and including prior to the First Closing Date and, with respect to any the Optional Shares purchased after the First Closing DateShares, each Option Closing Date: (i) The the Company shall have filed the Prospectus with the Commission (including the information previously omitted from the Registration Statement pursuant to Rule 430B under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act.; (ii) No no stop order suspending the effectiveness of the Registration Statement Statement, or any post-effective amendment to the Registration Statement Statement, shall be in effect, effect and no proceedings for such purpose shall have been instituted or threatened by the Commission.; and (iii) If a filing has been made with FINRA, FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.

Appears in 4 contracts

Samples: Underwriting Agreement (Quaker Chemical Corp), Underwriting Agreement (Avanir Pharmaceuticals, Inc.), Underwriting Agreement (Vantage Drilling CO)

Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date of this Agreement and through and including the First Closing Date and, with respect to any Optional Shares purchased after the First Closing Date, each Option Closing Date: (i) The Company shall have filed the Prospectus with the Commission (including the information previously omitted from the Registration Statement pursuant to required by Rule 430B 430A under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act. (ii) No stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement shall be in effect, and no proceedings for such purpose shall have been instituted or threatened by the Commission. (iii) If a filing has been made with FINRA, FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.

Appears in 4 contracts

Samples: Underwriting Agreement (Holley Inc.), Underwriting Agreement (SQZ Biotechnologies Co), Underwriting Agreement (SQZ Biotechnologies Co)

Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date of this Agreement and through and including prior to the First Closing Date and, with respect to any the Optional Shares purchased after the First Closing DateShares, each Option Closing Date: (i) The i. the Company shall have filed the Prospectus with the Commission (including the information previously omitted from the Registration Statement pursuant to Rule 430B or Rule 430C under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act.; (ii) No . no stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement Statement, shall be in effect, effect and no proceedings for such purpose shall have been instituted or threatened by the Commission.; and (iii) If a filing has been made with FINRA, . FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.

Appears in 3 contracts

Samples: Underwriting Agreement (Callon Petroleum Co), Underwriting Agreement (Vantage Drilling CO), Underwriting Agreement (Vantage Drilling CO)

Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date of this Agreement and through and including the First Closing Date and, with respect to any Optional Shares purchased after the First Closing Date, each Option Closing Date: (i) The Company shall have filed the Prospectus with the Commission (including the information previously omitted from the Registration Statement pursuant to required by Rule 430B 430A under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act. (ii) No stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement or the F-6 Registration Statement or any post-effective amendment to the F-6 Registration Statement shall be in effect, and no proceedings for such purpose shall have been instituted or or, to the knowledge of the Company, threatened by the Commission. (iii) If a filing has been made with FINRA, FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.

Appears in 2 contracts

Samples: Underwriting Agreement (Argo Blockchain PLC), Underwriting Agreement (Argo Blockchain PLC)

Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date effectiveness of this Agreement and through and including prior to the First Closing Date and, with respect to any the Optional Shares purchased after the First Closing DateShares, each Option Closing Date: (i) The the Company shall have filed the Prospectus with the Commission (including the information previously omitted from the Registration Statement pursuant to Rule 430B under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act.; (ii) No no stop order suspending the effectiveness of the Registration Statement Statement, or any post-effective amendment to the Registration Statement Statement, shall be in effect, effect and no proceedings for such purpose shall have been instituted or threatened by the Commission.; and (iii) If a filing has been made with FINRA, the FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.

Appears in 2 contracts

Samples: Underwriting Agreement (Sangamo Biosciences Inc), Underwriting Agreement (Sangamo Biosciences Inc)

Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date of this Agreement and through and including prior to the First Closing Date and, with respect to any the Optional Shares purchased after the First Closing DateShares, each Option Closing Date: (i) The the Company shall have filed the Prospectus with the Commission (including the information Rule 430 Information previously omitted from the Registration Statement pursuant to Rule 430B or Rule 430C under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act.; (ii) No no stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement Statement, shall be in effect, effect and no proceedings for such purpose shall have been instituted or threatened by the Commission.; and (iii) If a filing has been made with FINRA, FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.

Appears in 2 contracts

Samples: Underwriting Agreement (Abraxas Petroleum Corp), Underwriting Agreement (Abraxas Petroleum Corp)

Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date effectiveness of this Agreement and through and including prior to the First Closing Date and, with respect to any the Optional Shares purchased after the First Closing DateShares, each Option Closing Date: (i) The the Company shall have filed the Prospectus with the Commission (including the information previously omitted from the Registration Statement pursuant to required by Rule 430B 430A under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act.; (ii) No no stop order suspending the effectiveness of the Registration Statement Statement, any Rule 462(b) Registration Statement, or any post-effective amendment to the Registration Statement Statement, shall be in effect, effect and no proceedings for such purpose shall have been instituted or threatened by the Commission.; and (iii) If a filing has been made with FINRA, FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.

Appears in 2 contracts

Samples: Underwriting Agreement (Legacy Healthcare Properties Trust Inc.), Underwriting Agreement (Metabolix, Inc.)

Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the a period from and after the date of this Agreement and through and including the First Closing Date and, with respect to any Optional Option Shares purchased after the First Closing Date, each Option Closing Date: (i) The Company shall have filed the Prospectus with the Commission (including the information previously omitted from the Registration Statement pursuant to required by Rule 430B under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act. (ii) No stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement shall be in effect, and no proceedings for such purpose shall have been instituted or threatened by the Commission. (iii) If a filing has been made with FINRA, FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.

Appears in 2 contracts

Samples: Underwriting Agreement (Brainsway Ltd.), Underwriting Agreement (Zomedica Pharmaceuticals Corp.)

Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date of this Agreement and through and including the First Closing Date and, with respect to any Optional Shares purchased after the First Closing Date, each Option Closing Date: (i1) The Company shall have filed the Prospectus with the Commission (including the information previously omitted from the Registration Statement pursuant to Rule 430B under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act. (ii2) No stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement shall be in effect, and no proceedings for such purpose shall have been instituted or threatened by the Commission. (iii3) If a filing has been made with FINRA, FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.

Appears in 1 contract

Samples: Underwriting Agreement (Senseonics Holdings, Inc.)

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Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date effectiveness of this Agreement and through and including prior to the First Closing Date and, with respect to any the Optional Shares purchased after the First Closing DateShares, each Option Closing Date: (i) The the Company shall have filed the Prospectus with the Commission (including the information previously omitted from the Registration Statement pursuant to Rule 430B under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act.; (ii) No no stop order suspending the effectiveness of the Registration Statement Statement, any Rule 462(b) Registration Statement, or any post-effective amendment to the Registration Statement Statement, shall be in effect, effect and no proceedings for such purpose shall have been instituted or threatened by the Commission. ; and (iii) If a filing has been made with FINRA, FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.

Appears in 1 contract

Samples: Underwriting Agreement (Pioneer Energy Services Corp)

Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date of this Agreement and through and including the First Closing Date and, with respect to any Optional Shares Option Securities purchased after the First Closing Date, each Option Closing Date: (i) The Company shall have filed the Prospectus with the Commission (including the information previously omitted from the Registration Statement pursuant to Rule 430B under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act. (ii) No stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement shall be in effect, and no proceedings for such purpose shall have been instituted or threatened by the Commission. (iii) If a filing has been made with FINRA, FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.

Appears in 1 contract

Samples: Underwriting Agreement (Green Plains Inc.)

Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date of this Agreement and through and including the First Closing Date and, with respect to any Optional Shares purchased after the First Closing Date, each Option Closing Date: (i) The the Company shall have filed the Prospectus with the Commission (including the information previously omitted from the Registration Statement pursuant to Rule required by Rules 430A, 430B or 430C under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act.; (ii) No no stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement shall be in effect, and no proceedings for such purpose shall have been instituted or threatened by the Commission.; and (iii) If if a filing has been made with FINRA, FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.

Appears in 1 contract

Samples: Underwriting Agreement (ImmunityBio, Inc.)

Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date of this Agreement and through and including the First Closing Date and, with respect to any Optional Shares purchased after the First Closing Date, and each Option Closing Date: (i) The Company shall have filed the Prospectus with the Commission (including the information previously omitted from the Registration Statement pursuant to Rule 430B under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act.; (ii) No stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement shall be in effect, and no proceedings for such purpose shall have been instituted or threatened by the Commission. (iii) If a filing has been made with FINRA, then FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.

Appears in 1 contract

Samples: Underwriting Agreement (Arrowhead Pharmaceuticals, Inc.)

Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date of this Agreement and through and including the First Closing Date and, with respect to any Optional Shares purchased after the First Closing Date, each Option Closing Date: (i) The Company shall have filed the Prospectus with the Commission (including the information previously omitted from the Registration Statement pursuant to Rule 430B under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act. (ii) No stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement shall be in effect, and no proceedings for such purpose shall have been instituted or or, to the Company’s knowledge, threatened by the Commission. (iii) If a filing has been made with FINRA, FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.

Appears in 1 contract

Samples: Underwriting Agreement (Calix, Inc)

Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date effectiveness of this Agreement and through and including prior to the First Closing Date and, with respect to any the Optional Shares purchased after the First Closing DateShares, each Option Closing Date: (i) The the Company shall have filed the Prospectus with the Commission (including the information previously omitted from the Registration Statement pursuant to Rule 430B under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act.; (ii) No no stop order suspending the effectiveness of the Registration Statement Statement, any Rule 462(b) Registration Statement, or any post-effective amendment to the Registration Statement Statement, shall be in effect, effect and no proceedings for such purpose shall have been instituted or threatened by the Commission.; and (iii) If a filing has been made with FINRA, FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.

Appears in 1 contract

Samples: Underwriting Agreement (Comstock Mining Inc.)

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