Compliance with SEC Sample Clauses
The 'Compliance with SEC' clause requires parties to adhere to all applicable rules and regulations set forth by the U.S. Securities and Exchange Commission (SEC). In practice, this means that any disclosures, filings, or financial statements provided must meet SEC standards, and parties must promptly address any SEC inquiries or requirements. This clause ensures that all actions taken under the agreement remain legally compliant with federal securities laws, thereby reducing the risk of regulatory violations and associated penalties.
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. 5.8 Other Requirements AVIF will require that each Participating Insurance Company and Participating Plan enter into an agreement with AVIF that contains in substance the same provisions as are set forth in Sections 4.1(b), 4.1(d), 4.3(a), 4.4(b), 4.5(a), 5, and 10 of this Agreement. Section 6.
Compliance with SEC. At least five (5) business days prior to the publication of [__________]'s Registered Prospectus on the Website, a registration statement filed by [__________] with the SEC with respect to the Offering shall have been declared effective by the SEC. Proof thereof in form satisfactory to MainStreet's counsel must be furnished to MainStreet's counsel prior to the commencement of the Offering Period.
Compliance with SEC. Within thirty (30) days of the date ------------------- of this Agreement, ADS shall be in full and complete compliance with all requirements under the Securities and Exchange Act of 1934, as amended (the "1934 Act"), including but not limited to the filing within that 30-day period of its complete Quarterly Report on Form l0-Q for the quarter ended March 31, 2002, and ADS shall remain in full and complete compliance with all requirements under the 1934 Act for the ensuing period of six (6) months immediately following the date of this Agreement. In the event ADS is not in compliance with any requirement under the 1934 Act, ADS shall have two (2) weeks to cure such noncompliance.
Compliance with SEC. Borrower has complied in all material respects with the Order of the Securities and Exchange Commission (the “SEC”) dated June 27, 2002 (No. 4-460) requiring the filing of sworn statements pursuant to Section 21(a)(1) of the Securities Exchange Act of 1934, as amended, and Sections 302 and 906 of the ▇▇▇▇▇▇▇▇-▇▇▇▇▇ Act of 2002, as amended, and the rules of the SEC promulgated thereunder. This representation shall be deemed to be repeated at all times until the termination of this Agreement.
Compliance with SEC. YAK shall have duly and lawfully completed all filings with the SEC and the registration statement covering the offering to be offered on the Website shall have been declared effective by the SEC. Proof thereof in form satisfactory to MainStreet's counsel must be furnished to MainStreet's counsel prior to the commencement of the Offering Period.
Compliance with SEC. The new shares are issued for “outstanding securities, claims or property interests,” within the meaning of Section 3(a)(10) of the 1933 Act, which includes the matters in the Lawsuit and the Claims of Manhattan Investments, and such exchange is expressly conditioned on an approved hearing of fairness of the terms and conditions of said exchange, before the Court in the Northern District of Georgia, hearing this case.
Compliance with SEC. The new shares are exchanged for “outstanding securities, claims or property interests,” within the meaning of Section 3(a)(10) of the 1933 Act, which includes the matters in the Lawsuit and the Claims of ▇▇▇▇▇ ▇. ▇▇▇▇▇ Trust and ▇▇▇▇▇▇ ▇. ▇▇▇▇▇ Trust, and such exchange is expressly conditioned on an approved hearing of fairness of the terms and conditions of said exchange, before the Court in the Second Judicial District Court, Washoe County, hearing this case.
Compliance with SEC. Buyer is in full compliance with all required SEC and financial reporting regulations both currently and at Closing.
Compliance with SEC. 3(A)(10)