Investment Adviser Registration Sample Clauses

Investment Adviser Registration. GP shall have either registered effectively as an investment adviser under the Advisers Act or merged into BC, with BC being the surviving entity in such merger.
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Investment Adviser Registration. Each of Stifel Nicolaus and CSA is registered as an investment adviser wixx xxx Xxxxxxxxon, is registered or exempt from registration as an investment adviser in all fifty states, the District of Columbia and Puerto Rico, and is in compliance in all material respects with all applicable laws, rules, regulations, orders and similar requirements in connection therewith except where the failure to be so registered or in such compliance would not have a Material Adverse Effect.
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Investment Adviser Registration. (a) Seller is duly registered as an investment adviser under the Investment Advisers Act of 1940, as amended (the “Investment Advisers Act”). Seller has delivered to Purchaser a true, correct and complete copy of Seller’s currently effective Form ADV. The information contained in such Form ADV was true and complete in all material respects as of the time of filing and, except as indicated on any subsequent form or report filed with the Securities and Exchange Commission, continues to be true and complete in all material respects.
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Investment Adviser Registration. Adviser has filed an application to be registered as an investment adviser in the State of New York and will maintain this registration, once approved, for so long as the Adviser continues to provide investment advisory services under the terms of this Agreement until an exemption becomes available or the Adviser becomes registered with the Securities and Exchange Commission (“SEC”) in accordance with the requirements of the Advisers Act.
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Investment Adviser Registration. 3.23.1. Each RIA is duly registered as an investment adviser under the Investment Advisers Act of 1940, as amended (the “Investment Advisers Act”). The Company has delivered to the Buyer a true, correct and complete copy of each RIA’s currently effective Form ADV. The information contained in such Form ADVs was true and complete in all material respects as of the time of filing and, except as indicated on any subsequent form or report filed with the Securities and Exchange Commission, continues to be true and complete in all material respects.
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Investment Adviser Registration. Buyer is duly registered as an investment adviser under the Advisers Act and under all Applicable Laws relating to the Buyer. Buyer has delivered to the Company a true and complete copy of Buyer's currently effective Form ADV, as filed with the SEC, and has made available to the Company all state, Federal and foreign registration forms, all prior Form ADV filings and all reports filed by Buyer with the SEC under the Advisers Act and the rules promulgated thereunder or otherwise and under similar state, Federal and foreign statutes within the last three years, and will provide to the Company such forms and reports as are filed from and after the date hereof and prior to the Closing Date. The information contained in such forms and reports was or will be true and complete as of the time of filing and, except as indicated on a subsequent form or report filed before the Closing Date, continue to be true and complete. Each such registration is in full force and effect.
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Investment Adviser Registration. The Company shall continue to be registered as an Investment Adviser under the Investment Advisers Act. 6.9.
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Investment Adviser Registration. MIGRA and MIG Ltd. each are duly registered as an investment adviser under the 40 Act and under all applicable state, federal and foreign investment adviser or related laws. MIGRA and MIG Ltd. have delivered to AERC a true and complete copy of both MIGRA's and MIG Ltd.'s currently effective Form ADV, as filed with the SEC and has made available to AERC all state, federal and foreign registration forms, all prior Form ADV filings and all reports filed by both MIGRA and MIG Ltd. with the SEC under the 40 Act and the rules promulgated thereunder or otherwise and under similar state, federal and foreign statutes within the last five years, and will provide to AERC such forms and reports as are filed from and after the date hereof and prior to the Closing Date. The information contained in such forms and reports was or will be true and complete as of the time of filing and, except as indicated on a subsequent form or report filed before the Closing Date, continues to be true and complete. Each such registration is in full force and effect, and MIGRA and MIG Ltd. agree to maintain such registration between the date of this Agreement and the consummation of the Merger.
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Investment Adviser Registration. Each of CFC, CII and CAAM has been at all times since February 27, 1987, January 21, 1998 and June 25, 1998, respectively, and is currently, duly registered as an investment adviser under the Advisers Act. Each of CFC, CII and CAAM is duly registered, licensed and qualified as an investment adviser, or has provided notice of operation as an investment adviser, in all jurisdictions where such registration, licensing, qualification or notice is required in order to conduct their business. Each of CFC, CII and CAAM has delivered to Purchaser a true and complete copy of each of their respective currently effective Form ADV, including Part I as filed with the SEC, and has provided to Purchaser all currently effective state, federal and foreign registration forms. Each of CFC, CII and CAAM has also provided to Purchaser all prior Form ADV filings made within the past five years and all reports filed by each of CFC, CII and CAAM with the SEC under the Advisers Act and the Exchange Act and the rules promulgated thereunder or otherwise and under similar state, federal and foreign statutes currently applicable to each of CFC, CII and CAAM, including Forms 13D, 13F and 13G. Each of CFC, CII and CAAM has also provided to Purchaser all correspondence between each of CFC, CII and CAAM and the SEC and any state or foreign regulator within the last five years, and will provide to Purchaser such forms and reports as are filed from and after the date hereof and prior to the Closing Date. The information contained in such forms and reports was or will be true and complete in all material respects as of the time of filing and, except as indicated on a subsequent form or report filed before the Closing Date, continues to be true and complete in all material respects and were filed within the time frames required. Each of CFC, CII and CAAM is in compliance with all foreign, federal and state laws requiring registration, licensing, qualification or notice of operation as, an investment adviser and has currently effective notice filings in each of the jurisdictions listed in Schedule 9.27. Each such registration is in full force and effect except to the extent CFC, CII or CAAM, as applicable, is no longer subject to registration in any state.
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Related to Investment Adviser Registration

  • Registered Investment Adviser The Sub-Adviser (i) is duly registered as an investment adviser under the Advisers Act and will continue to be so registered for so long as this Agreement remains in effect; (ii) is not prohibited by the 1940 Act or the Advisers Act from performing the services contemplated by this Agreement; (iii) has appointed a Chief Compliance Officer under Rule 206(4)-7 under the Advisers Act; (iv) has adopted written policies and procedures that are reasonably designed to prevent violations of the Advisers Act from occurring, and correct promptly any violations that have occurred, and will provide notice promptly to the Adviser of any material violations relating to the Fund; (v) has materially met and will seek to continue to meet for so long as this Agreement remains in effect, any other applicable federal or state requirements, or the applicable requirements of any regulatory or industry self-regulatory agency; and (vi) will promptly notify the Adviser of the occurrence of any event that would disqualify the Sub-Adviser from serving as an investment adviser of a registered investment company pursuant to Section 9(a) of the 1940 Act.

  • Investment Adviser The Buyer is an investment adviser registered under the Investment Advisers Act of 1940.

  • Investment Advisers Act The Manager is not prohibited by the Investment Advisers Act of 1940, as amended, or the rules and regulations thereunder, from performing its obligations under the Management Agreement as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus.

  • Investment Adviser Status The Investment Adviser is duly registered and in good standing with the Commission as an investment adviser under the Advisers Act, and is not prohibited by the Advisers Act, the 1940 Act, the Rules and Regulations or the Advisers Act Rules and Regulations, from acting under the Investment Management Agreement as contemplated by the Registration Statement, each preliminary prospectus and the Prospectus.

  • BROKER-DEALER REGISTRATION; FINRA MEMBERSHIP The Dealer Manager is, and during the term of this Agreement will be, (i) duly registered as a broker-dealer pursuant to the provisions of the Exchange Act, (ii) a member in good standing of FINRA, and (iii) a broker or dealer duly registered as such in those states where the Dealer Manager is required to be registered in order to carry out the Offering as contemplated by this Agreement. Each of the Dealer Manager’s employees and representatives has all required licenses and registrations to act under this Agreement. There is no provision in the Dealer Manager’s FINRA membership agreement that would restrict the ability of the Dealer Manager to carry out the Offering as contemplated by this Agreement.

  • Investment Advisor The Buyer is an investment advisor registered under the Investment Advisors Act of 1940.

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