Compliance with Registration. Pershing and each of its employees is in material compliance with, and during the term of this Agreement shall remain in material compliance with the registration, qualification, capital, financial reporting, customer protection, and other requirements of every self-regulatory organization of which Pershing is a member, of the SEC, and every state.
Appears in 4 contracts
Samples: Fully Disclosed Clearing Agreement (International Assets Holding Corp), Fully Disclosed Clearing Agreement (American Portfolios Holdings Inc), Fully Disclosed Clearing Agreement (American Portfolios Holdings Inc)
Compliance with Registration. Pershing and each of its employees is in material substantial compliance with, and during the term of this Agreement shall remain in material substantial compliance with the registration, qualification, capital, financial reporting, customer protection, and other requirements of every self-regulatory organization of which Pershing is a member, of the SEC, and every state.
Appears in 3 contracts
Samples: Fully Disclosed Clearing Agreement (Pinnacle Global Group Inc), Fully Disclosed Clearing Agreement (Echapman Com Inc), Fully Disclosed Clearing Agreement (Chapman Holdings Inc)
Compliance with Registration. Pershing and each of its employees is in material compliance with, and during the term of this Agreement shall remain in material compliance with the registration, qualification, capital, financial reporting, customer protection, and other requirements of every self-regulatory organization of which Pershing is a member, of the Securities and Exchange Commission (“SEC”), and every state.
Appears in 2 contracts
Samples: Fully Disclosed Clearing Agreement, Fully Disclosed Clearing Agreement (Summit Financial Services Group Inc)
Compliance with Registration. Pershing and each of its employees is in material compliance with, and during the term of this Agreement shall remain in material compliance with the registration, qualification, capital, financial reporting, customer protection, and other requirements of every self-self regulatory organization of which Pershing is a member, of the Securities and Exchange Commission ("SEC"), and every state.
Appears in 1 contract
Samples: Fully Disclosed Clearing Agreement (Southern Trust Securities Holding Corp)
Compliance with Registration. Pershing and each of its employees is in ---------------------------- material compliance with, and during the term of this Agreement shall remain in material compliance with the registration, qualification, capital, financial reporting, customer protection, and other requirements of every self-regulatory organization of which Pershing is a member, of the SEC, and every state.
Appears in 1 contract
Samples: Fully Disclosed Clearing Agreement (Ziegler Companies Inc)
