Compliance with Stock Exchange Rules Sample Clauses

Compliance with Stock Exchange Rules. In connection with any substitution or variation of the Notes in accordance with Condition 8(e) or Condition 8(f), the Issuer and the Guarantor shall comply with the rules of any stock exchange or other relevant authority on which the Notes are for the time being listed or admitted to trading.
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Compliance with Stock Exchange Rules. Parent is in compliance with the applicable listing and other rules and regulations of The NASDAQ Stock Market, except to the extent that any failure to so comply would not reasonably be expected to have a Material Adverse Effect with respect to Parent or prevent any shares of Parent Common Stock issued pursuant to this Agreement to be eligible for listing and trading on The NASDAQ Stock Market, and has not since January 1, 2009 received any notice asserting any non-compliance with such rules and regulations.
Compliance with Stock Exchange Rules. The Borrower is in compliance in all material respects with the rules and regulations of the TSX and the NYSE and all requirements of applicable Securities Laws.
Compliance with Stock Exchange Rules. Notwithstanding anything to the contrary and in addition to the limitations set forth in Section 7 of this Schedule 2.6, the aggregate number of Shares that may be issued: i. to the Lender in connection with the Offering together with the holders of Notes and Warrants (pursuant to the exercise of the Warrants, the conversion of the Notes (and/or payment of interest thereon in Shares) and/or the conversion of the amounts outstanding (i.e. the Principal and accrued Interest into Conversion Shares) under this Agreement (as the case may be)) shall be limited to 43,664,524 Shares (the "General Cap"), which equals 24.99% of the issued and outstanding Shares (on a non-diluted basis) as of the date of the subscription documents executed by the Lender in connection with the Offering, unless the General Shareholder Approval is obtained; and ii. to insiders of the Parent (as of the date hereof) from time to time in connection with the Offering (pursuant to the exercise of the Warrants, the conversion of the Notes (and/or payment of interest thereon in Shares) and/or the conversion of the amounts outstanding (i.e. the Principal and accrued Interest into Conversion Shares) under this Agreement (as the case may be)) shall be limited to 17,465,809 Shares (the "Insider Issuance Cap"), which equals 9.99% of the issued and outstanding Shares (on a non-diluted basis) as of the date of the subscription documents executed by the Lender in connection with the Offering, unless the Insider Shareholder Approval is obtained. Each of the General Cap and the Insider Issuance Cap shall be appropriately adjusted for any reorganization, recapitalization, non-cash dividend, stock split, reverse-stock split or other similar transaction. For certainty, in the event that the General Shareholder Approval and/or the Insider Shareholder Approval have been obtained, the General Cap and/or the Insider Issuance Cap, as applicable, shall not be applicable.
Compliance with Stock Exchange Rules. Parent is in compliance with the applicable listing and other rules and regulations of the American Stock Exchange, except to the extent that any failure to so comply would not reasonably be expected to have a Material Adverse Effect with respect to Parent or prevent any shares of Parent Common Stock issued pursuant to this Agreement to be eligible for listing and trading on the American Stock Exchange, and has not since its listing on the American Stock Exchange received any notice from the American Stock Exchange asserting any non-compliance with such rules and regulations.
Compliance with Stock Exchange Rules. The Consultant acknowledges that this Agreement is an agreement to provideInvestor Relations Activities” (as defined in Policy 1.1 of the TSX Venture Exchange (the “Exchange”)) as prescribed by Exchange Policy 3.

Related to Compliance with Stock Exchange Rules

  • 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 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 Principal Market Rules Notwithstanding anything in this Agreement to the contrary, and in addition to the limitations set forth in Section 1(e), the total number of shares of Common Stock that may be issued under this Agreement, including the Commitment Shares (as defined in Section 4(e) hereof), shall be limited to 13,341,750 shares of Common Stock (the “Exchange Cap”), which equals 19.99% of the Company’s outstanding shares of Common Stock as of the date hereof, unless stockholder approval is obtained to issue more than such 19.99%. The Exchange Cap shall be appropriately adjusted for any reorganization, recapitalization, non-cash dividend, stock split, reverse stock split or other similar transaction. The foregoing limitation shall not apply if stockholder approval has not been obtained and at any time the Exchange Cap is reached and at all times thereafter the average price paid for all shares issued under this Agreement is equal to or greater than $0.53 (the “Minimum Price”), a price equal to the consolidated closing bid price on the Business Day prior to the date hereof (in such circumstance, for purposes of the Principal Market, the transaction contemplated hereby would not be “below market” and the Exchange Cap would not apply). The Minimum Price shall be appropriately adjusted for any reorganization, recapitalization, non-cash dividend, stock split, reverse stock split or other similar transaction. Notwithstanding anything to the contrary in this Agreement or otherwise, the Company shall not be required or permitted to issue, and the Buyer shall not be required to purchase, any shares of Common Stock under this Agreement if such issuance would breach the Company’s obligations under the rules or regulations of the Principal Market. The Company may, in its sole discretion, determine whether to obtain stockholder approval to issue more than 19.99% of its outstanding shares of Common Stock hereunder if such issuance would require stockholder approval under the rules or regulations of the Principal Market.

  • 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 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.

  • Compliance with U.S. Securities Laws; Regulatory Compliance Notwithstanding any provisions in this Receipt or the Deposit Agreement to the contrary, the withdrawal or delivery of Deposited Securities will not be suspended by the Company or the Depositary except as would be permitted by Instruction I.A.(1) of the General Instructions to the Form F-6 Registration Statement, as amended from time to time, under the Securities Act.

  • Compliance with NASD Rules The Company hereby agrees that it will ensure that the Reserved Securities will be restricted as required by the National Association of Securities Dealers, Inc. (the "NASD") or the NASD 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 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 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 Governmental Rules and Regulations Except as otherwise provided in the Agreement and except for the accuracy of information furnished to the Fund by Price Services, each Fund assumes full responsibility for the preparation, contents and distribution of its prospectuses and compliance with all applicable requirements of the ’40 Act, the ‘34 Act, the ‘33 Act, and any other laws, rules and regulations of governmental authorities having jurisdiction over the Fund. Price Services shall be responsible for complying with all laws, rules and regulations of governmental authorities having jurisdiction over transfer agents and their activities and cooperating with respect to examinations and requests from such governmental authorities.

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