Compliance with Rule 10b5. 1(c)(2). Broker-Dealer represents that it has established reasonable policies and procedures to ensure that its agents and representatives responsible for executing sales of Stock pursuant to this Plan do not violate the xxxxxxx xxxxxxx laws.
Appears in 5 contracts
Samples: Rule 10b5 1 Plan (Serenity Investments, LLC), Rule 10b5 1 Plan (Serenity Investments, LLC), Rule 10b5 1 Plan (Serenity Investments, LLC)
