Common use of Listing and Maintenance Requirements Clause in Contracts

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the SEC is contemplating terminating such registration. The Common Stock is currently quoted on the OTC Bulletin Board (the “OTCBB”) under the symbol “CICI.” The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements of such Trading Market.

Appears in 6 contracts

Samples: Exchange Agreement (Phoenix Venture Fund LLC), Series B Preferred Stock Purchase Agreement (Phoenix Venture Fund LLC), Exchange Agreement (Phoenix Venture Fund LLC)

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Listing and Maintenance Requirements. The Company’s Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge the Company’s Knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act Act, nor has the Company received any notification that the SEC Commission is contemplating terminating such registration. The Common Stock is currently quoted on Except as disclosed in the OTC Bulletin Board (SEC Reports, the “OTCBB”) under the symbol “CICI.” The Company has not, in the 12 10 months preceding the date hereofClosing Date, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The As of the Closing Date, the Company is, and has no reason to believe that it will not in the foreseeable future continue to be, is in compliance with all such listing and maintenance requirements of such Trading Marketrequirements.

Appears in 5 contracts

Samples: Securities Purchase Agreement (Medicinova Inc), Securities Purchase Agreement (American Standard Energy Corp.), Securities Purchase Agreement (Augme Technologies, Inc.)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the SEC Commission is contemplating terminating such registration. The Common Stock is currently quoted on the OTC Bulletin Board (the “OTCBB”) under the symbol “CICI.” The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market Market” (as defined in the Purchase Agreement (as defined in Section 5(j) below)) on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements of such Trading Marketrequirements.

Appears in 5 contracts

Samples: Placement Agency Agreement (Biolife Solutions Inc), Placement Agency Agreement (Biolife Solutions Inc), Placement Agency Agreement (Biolife Solutions Inc)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(g) 12 of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the SEC Commission is contemplating terminating such registration. The Common Stock is currently quoted on the OTC Bulletin Board (the “OTCBB”) under the symbol “CICI.” The Company has not, in the 12 months preceding the date hereofClosing, received notice from any the Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market, except in connection with notices which relate to compliance issues which have since been cured. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such the listing and maintenance requirements of such the Trading Market.

Appears in 4 contracts

Samples: Investment Agreement (Camber Energy, Inc.), Exchange Agreement (Camber Energy, Inc.), Exchange Agreement (Camber Energy, Inc.)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under pursuant to the Exchange Act nor has the Company received any notification that the SEC Commission is currently contemplating terminating such registration. The Common Stock is currently quoted on Except as disclosed in the OTC Bulletin Board (SEC Reports, the “OTCBB”) under the symbol “CICI.” The Company has not, in the 12 twelve (12) months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Except as disclosed in the SEC Reports, the Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements of such Trading Marketrequirements.

Appears in 4 contracts

Samples: Subscription Agreement (Cti Biopharma Corp), Securities Purchase Agreement (Cell Therapeutics Inc), Securities Purchase Agreement (Cell Therapeutics Inc)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under pursuant to the Exchange Act nor has the Company received any notification that the SEC Commission is currently contemplating terminating such registration. The Common Stock is currently quoted on Except as disclosed in the OTC Bulletin Board (SEC Reports, the “OTCBB”) under the symbol “CICI.” The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Except as disclosed in the SEC Reports, the Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements of such Trading Marketrequirements.

Appears in 4 contracts

Samples: Securities Purchase Agreement (Cell Therapeutics Inc), Securities Purchase Agreement (Cell Therapeutics Inc), Securities Purchase Agreement (Cell Therapeutics Inc)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(g12(b) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the SEC Commission is contemplating terminating such registration. The Common Stock is currently quoted on the OTC Bulletin Board (the “OTCBB”) under the symbol “CICI.” The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market, except such as has been cured. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements of such Trading Marketrequirements.

Appears in 4 contracts

Samples: Underwriting Agreement (CombiMatrix Corp), Underwriting Agreement (CombiMatrix Corp), Underwriting Agreement (CombiMatrix Corp)

Listing and Maintenance Requirements. The Company’s Common Stock is registered pursuant to Section 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating terminate the registration of the Common Stock under the Exchange Act nor has the Company received any written notification that the SEC Commission is contemplating terminating such registration. The Common Stock is currently quoted on the OTC Bulletin Board (the “OTCBB”) under the symbol “CICI.” The Company has not, in the 12 months preceding the date hereof, received written notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance in all material respects with all such the listing and maintenance requirements for continued trading of such the Common Stock on the Principal Trading Market.

Appears in 4 contracts

Samples: Stock Purchase Agreement (HCSB Financial Corp), Stock Purchase Agreement (RMB Capital Management, LLC), Stock Purchase Agreement (Bank of the Carolinas CORP)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the SEC Commission is contemplating terminating such registration. The Common Stock is currently quoted on the OTC Bulletin Board (the “OTCBB”) under the symbol “CICI.” The Company has not, in the 12 months preceding the date hereof, received notice from the OTC Market Group’s OTC: Pink electronic quotation system (the “Trading Market”) or any Trading Market other trading market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market, if any. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all any such listing and maintenance requirements of such Trading Marketrequirements.

Appears in 4 contracts

Samples: Placement Agency Agreement (Z Trim Holdings, Inc), Placement Agency Agreement (Z Trim Holdings, Inc), Placement Agency Agreement (Z Trim Holdings, Inc)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the SEC Commission is contemplating terminating such registration. The Common Stock is currently quoted on Except as disclosed in the OTC Bulletin Board (Registration Statement, Prospectus, Prospectus Supplement or the “OTCBB”) under SEC Reports, the symbol “CICI.” The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements of such Trading Marketrequirements.

Appears in 3 contracts

Samples: Securities Purchase Agreement (Epicept Corp), Securities Purchase Agreement (Epicept Corp), Securities Purchase Agreement (Epicept Corp)

Listing and Maintenance Requirements. The Company's Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to will have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the SEC Commission is contemplating terminating such registration. The Common Stock is currently quoted on Except as disclosed in the OTC Bulletin Board (Registration Statement or the “OTCBB”) under SEC Reports, the symbol “CICI.” The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it at the Closing Date will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements of such Trading Marketrequirements.

Appears in 3 contracts

Samples: Placement Agent Agreement (Epicept Corp), Placement Agent Agreement (Epicept Corp), Placement Agent Agreement (Epicept Corp)

Listing and Maintenance Requirements. The Company’s Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to, to terminate (or which to its knowledge is likely would reasonably be expected to have the effect of, terminating of terminating) the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the SEC Commission is contemplating terminating such registration. The Common Stock is currently quoted on Except as specified in the OTC Bulletin Board (SEC Reports, the “OTCBB”) under the symbol “CICI.” The Company has not, in the 12 months preceding the date hereof, received written notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance in all material respects with all such the listing and maintenance requirements for continued trading of such the Common Stock on the Principal Trading Market.

Appears in 3 contracts

Samples: Securities Purchase Agreement (AtriCure, Inc.), Securities Purchase Agreement (Castle Brands Inc), Securities Purchase Agreement (Metalico Inc)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under pursuant to the Exchange Act nor has the Company received any notification that the SEC Commission is currently contemplating terminating such registration. The Common Stock is currently quoted on Except as disclosed in the OTC Bulletin Board (SEC Reports, the “OTCBB”) under the symbol “CICI.” The Company has not, in the 12 twelve (12) months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements of such Trading Marketrequirements.

Appears in 3 contracts

Samples: Securities Purchase Agreement (Cell Therapeutics Inc), Securities Purchase Agreement (Cell Therapeutics Inc), Securities Purchase Agreement (Cell Therapeutics Inc)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(g12(b) of the Exchange ActAct and listed on the NASDAQ Global Market (the “NASDAQ Stock Market”), and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act or the delisting of the Common Stock from the NASDAQ Stock Market nor has the Company received any notification that the SEC Commission is contemplating terminating such registration. The Common Stock is currently quoted on the OTC Bulletin Board (the “OTCBB”) under the symbol “CICI.” The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the material listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements of such Trading Market.

Appears in 3 contracts

Samples: Securities Purchase Agreement (Biosante Pharmaceuticals Inc), Securities Purchase Agreement (Biosante Pharmaceuticals Inc), Securities Purchase Agreement (Biosante Pharmaceuticals Inc)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the SEC Commission is contemplating terminating such registration. The Common Stock is currently quoted on the OTC Bulletin Board (the “OTCBB”) under the symbol “CICI.” The Company has not, in the 12 months preceding the date hereof, received notice from the OTC Bulletin Board or OTCQB Market (the “Trading Market”) or any Trading Market other trading market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements of such Trading Marketrequirements.

Appears in 3 contracts

Samples: Placement Agency Agreement (Soligenix, Inc.), Placement Agency Agreement (Soligenix, Inc.), Placement Agency Agreement (Soligenix, Inc.)

Listing and Maintenance Requirements. The Company’s Common Stock is registered pursuant to Section 12(g12(b) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating terminate the registration of the Common Stock under the Exchange Act Act, nor has the Company received any notification that the SEC Commission is contemplating terminating such registration. The Common Stock is currently quoted There are no proceedings pending or, to the Company’s Knowledge, threatened against the Company relating to the continued listing of the Company’s common stock on the OTC Bulletin Board (Principal Trading Market and the “OTCBB”) under the symbol “CICI.” The Company has not, in the 12 months preceding the date hereof, received written notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, is in compliance with all such listing and maintenance requirements of the Principal Trading Market on the date hereof and the issuance of the Shares will not violate any such Trading Marketlisting or maintenance requirements.

Appears in 3 contracts

Samples: Securities Purchase Agreement (Hudson Executive Capital LP), Securities Purchase Agreement (Corindus Vascular Robotics, Inc.), Securities Purchase Agreement (Corindus Vascular Robotics, Inc.)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act or the Company is obligated to file reports with the SEC pursuant to Section 15(d) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the SEC Commission is contemplating terminating such registration. The Common Stock is currently quoted on the OTC Bulletin Board (the “OTCBB”) under the symbol “CICI.” The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements of such Trading Marketrequirements.

Appears in 3 contracts

Samples: Securities Purchase Agreement (Lithium Exploration Group, Inc.), Securities Purchase Agreement (Lithium Exploration Group, Inc.), Securities Purchase Agreement (Lithium Exploration Group, Inc.)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(g) of the Exchange ActAct and listed on the Trading Market, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act or de-listing or suspending from trading the Common Stock on the Trading Market nor has the Company received any notification that the SEC Commission is contemplating terminating such registration. The Common Stock is currently quoted on the OTC Bulletin Board (the “OTCBB”) under the symbol “CICI.” The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, is in compliance in all material respects with all such listing and maintenance requirements of such Trading Marketrequirements.

Appears in 2 contracts

Samples: Securities Subscription Agreement (Marshall Edwards Inc), Securities Subscription Agreement (Marshall Edwards Inc)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the SEC Commission is contemplating terminating such registration. The Common Stock is currently quoted on Except as set forth in the OTC Bulletin Board (Disclosure Schedules or SEC Reports, the “OTCBB”) under the symbol “CICI.” The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements of such Trading Marketrequirements.

Appears in 2 contracts

Samples: Securities Purchase Agreement (Celsion CORP), Securities Purchase Agreement (Celsion CORP)

Listing and Maintenance Requirements. The Company’s Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to, or which that to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act Act, nor has the Company received any notification that the SEC Commission is contemplating terminating such registration. The Common Stock is currently quoted on the OTC Bulletin Board (the “OTCBB”) under the symbol “CICI.” The Company has not, in the 12 twelve (12) months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, is in compliance with all such listing and maintenance requirements requirements. The issuance and listing of such Trading Marketthe Shares on the NYSE Amex requires no further approval of the Company’s shareholders.

Appears in 2 contracts

Samples: Placement Agent Agreement (Pharmathene, Inc), Placement Agent Agreement (Pharmathene, Inc)

Listing and Maintenance Requirements. The Company’s Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the SEC Commission is contemplating terminating such registration. The Common Stock is currently quoted on Except as set forth set forth in the OTC Bulletin Board (SEC Reports, the “OTCBB”) under the symbol “CICI.” The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements of such Trading Marketrequirements.

Appears in 2 contracts

Samples: Placement Agent Agreement (Rexahn Pharmaceuticals, Inc.), Placement Agent Agreement (Rexahn Pharmaceuticals, Inc.)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the SEC Commission is contemplating terminating such registration. The Except for the Company’s Common Stock is currently quoted listing being moved from the OTCBB to the OTCQB on July 23, 2012, the OTC Bulletin Board (the “OTCBB”) under the symbol “CICI.” The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market trading market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Markettrading market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements of such Trading Marketrequirements.

Appears in 2 contracts

Samples: Subscription Agreement (SpendSmart Payments Co), Subscription Agreement (BillMyParents, Inc.)

Listing and Maintenance Requirements. The Company’s Common Stock is registered pursuant to Section 12(g12(b) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the SEC Commission is contemplating terminating such registration. The Common Stock is currently quoted on Except as specified in the OTC Bulletin Board (SEC Reports, the “OTCBB”) under the symbol “CICI.” The Company has not, in the 12 twelve months preceding the date hereof, received written notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Except as disclosed in the SEC Reports, the Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements of such Trading Marketrequirements.

Appears in 2 contracts

Samples: Placement Agency Agreement (Wireless Ronin Technologies Inc), Placement Agency Agreement (Wireless Ronin Technologies Inc)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the SEC Commission is contemplating terminating such registration. The Common Stock is currently quoted on the OTC Bulletin Board (the “OTCBB”) under the symbol “CICI.” The Company has not, in from September 10, 2009, the 12 months preceding date of the Trading Market's letter approving the Company's continued listing on such Trading Market, and until the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason is unaware of any facts or circumstances that could reasonably be expected to believe that it will not in cause failure to maintain the foreseeable future continue to be, in compliance with all such continued listing and maintenance requirements of such the Common Stock on the Trading Market.

Appears in 2 contracts

Samples: Securities Purchase Agreement (Zoom Technologies Inc), Securities Purchase Agreement (Zoom Technologies Inc)

Listing and Maintenance Requirements. The Company’s Common Stock is registered pursuant to Section 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the SEC Commission is contemplating terminating such registration. The Common Stock is currently quoted on Except as disclosed in the OTC Bulletin Board (SEC Reports, the “OTCBB”) under Registration Statement or the symbol “CICI.” The Prospectus, the Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements of such Trading Market.

Appears in 2 contracts

Samples: Securities Purchase Agreement (Focus Enhancements Inc), Securities Purchase Agreement (Focus Enhancements Inc)

Listing and Maintenance Requirements. The Company’s Common Stock is registered pursuant to Section 12(g12(b) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating terminate the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the SEC Commission is contemplating terminating such registration. The Common Stock is currently quoted on the OTC Bulletin Board (the “OTCBB”) under the symbol “CICI.” The Company has not, in the 12 twelve (12) months preceding the date hereof, received written notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance in all material respects with all such the listing and maintenance requirements for continued trading of such the Common Stock on the Principal Trading Market.

Appears in 2 contracts

Samples: Purchase Agreement (Provident New York Bancorp), Share Purchase Agreement (First Merchants Corp)

Listing and Maintenance Requirements. The Company's Common Stock is Shares are registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock Shares under the Exchange Act nor has the Company received any notification that the SEC Commission is contemplating terminating such registration. The Common Stock is currently quoted on Except as publicly disclosed, the OTC Bulletin Board (the “OTCBB”) under the symbol “CICI.” The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock is Shares are or has have been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Except as publicly disclosed, the Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements of such Trading Marketrequirements.

Appears in 2 contracts

Samples: Placement Agent Agreement (Vasogen Inc), Placement Agent Agreement (Vasogen Inc)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to, or which which, to its knowledge the Knowledge of the Company, is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the SEC Commission is contemplating terminating such registration. The Common Stock is currently quoted on the OTC Bulletin Board (the “OTCBB”) under the symbol “CICI.” The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements of such Trading Marketrequirements.

Appears in 2 contracts

Samples: Securities Purchase Agreement (Cleveland Biolabs Inc), Securities Purchase Agreement (Cleveland Biolabs Inc)

Listing and Maintenance Requirements. The Company’s Common Stock is registered pursuant to Section 12(g12 (g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the SEC Commission is contemplating terminating such registration. The Common Stock is currently quoted on the OTC Bulletin Board (the “OTCBB”) under the symbol “CICI.” The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market trading market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Markettrading market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements requirements. The Company is in compliance with the rules and regulations of such Trading Marketthe NASD with respect to the trading of its shares of Common Stock on the OTCBB.

Appears in 2 contracts

Samples: Common Stock Purchase Agreement (Consumer Direct of America), Common Stock Purchase Agreement (Consumer Direct of America)

Listing and Maintenance Requirements. The Company's Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and except as disclosed in SEC Reports, the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the SEC Commission is contemplating terminating such registration. The Common Stock is currently quoted Except as set forth on Schedule 3.1(w), the OTC Bulletin Board (the “OTCBB”) under the symbol “CICI.” The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements of such Trading Market.

Appears in 2 contracts

Samples: Securities Purchase Agreement (Stackpole David Andrew), Securities Purchase Agreement (Harvey Electronics Inc)

Listing and Maintenance Requirements. The Company’s Common Stock is registered pursuant to Section 12(g12(b) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the SEC Commission is contemplating terminating such registrationregistration (it being understood that a registration under Section 12(g) will not violate this representation). The Common Stock is currently quoted on the OTC Bulletin Board (the “OTCBB”) under the symbol “CICI.” The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements of such Trading Marketrequirements.

Appears in 2 contracts

Samples: Securities Purchase Agreement (Implant Sciences Corp), Securities Purchase Agreement (Implant Sciences Corp)

Listing and Maintenance Requirements. The Except as set forth on Schedule 3.1(w), the Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the SEC Commission is contemplating terminating such registration. The Common Stock is currently quoted on the OTC Bulletin Board (the “OTCBB”) under the symbol “CICI.” The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such the listing and maintenance requirements of such Trading Marketthe OTC Bulletin Board.

Appears in 1 contract

Samples: Securities Purchase Agreement (Digital Angel Corp)

Listing and Maintenance Requirements. The Company Common Stock is registered pursuant to Section 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Company Common Stock under the Exchange Act nor has the Company received any notification that the SEC is contemplating terminating such registration. The Common Stock is currently quoted Except as specified in the Company SEC Reports or as set forth on Section 5.29 of the OTC Bulletin Board (Company Disclosure Schedules, the “OTCBB”) under the symbol “CICI.” The Company has not, in the 12 months two (2) years preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements for continued listing of such the Company Common Stock on the applicable Trading Market, including the eligibility rules thereunder.

Appears in 1 contract

Samples: Merger Agreement (Netsmart Technologies Inc)

Listing and Maintenance Requirements. The Company's Common -------------------------------------- Stock is registered pursuant to Section 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating terminate the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the SEC Commission is contemplating terminating such registration. The Common Stock is currently quoted on Except as specified in the OTC Bulletin Board (SEC Reports, the “OTCBB”) under the symbol “CICI.” The Company has not, in the 12 months two years preceding the date hereof, received written notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance in all material respects with all such the listing and maintenance requirements for continued trading of such the Common Stock on the Principal Trading Market.

Appears in 1 contract

Samples: Securities Purchase Agreement (DigitalFX International Inc)

Listing and Maintenance Requirements. The Except for exempted securities thereunder, the issued and outstanding Common Stock is registered pursuant to Section 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the SEC is contemplating terminating such registration. The Common Stock is currently quoted on the OTC Bulletin Board (the “OTCBB”) under the symbol “CICI.” The Company has not, in the 12 months preceding the date hereofEffective Date, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements of such Trading Marketrequirements.

Appears in 1 contract

Samples: Preferred Stock Purchase Agreement (Iceweb Inc)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(g12(b) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under pursuant to the Exchange Act nor has the Company received any notification that the SEC is currently contemplating terminating such registration. The Common Stock is currently quoted Securities have been approved for listing on the OTC Bulletin Board (the “OTCBB”) under the symbol “CICI.” Principal Market prior to issuance. The Company has nottaken no action designed to, in or likely to have the 12 months preceding effect of, delisting the date hereofCommon Stock from the Principal Market, nor has the Company received any notice from any Trading Market on which the Common Stock is or has been listed or quoted Person to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading the Principal Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements of such Trading Market.requirements. (aa)

Appears in 1 contract

Samples: Purchase Agreement (Aquestive Therapeutics, Inc.)

Listing and Maintenance Requirements. The Company's Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the SEC Commission is contemplating terminating such registration. The Common Stock is currently quoted Except as set forth on SCHEDULE 3.1(w), (a) the OTC Bulletin Board (the “OTCBB”) under the symbol “CICI.” The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Market and (b) the Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements of such Trading Marketrequirements.

Appears in 1 contract

Samples: Securities Purchase Agreement (Elite Pharmaceuticals Inc /De/)

Listing and Maintenance Requirements. The Company's Common Stock is registered pursuant to Section 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the SEC Commission is contemplating terminating such registration. The Common Stock is currently quoted on the OTC Bulletin Board (the “OTCBB”) under the symbol “CICI.” The Company has not, in the 12 months preceding the date hereof, not received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements of such Trading Marketrequirements.

Appears in 1 contract

Samples: Securities Purchase Agreement (Catcher Holdings Inc)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the SEC Commission is contemplating terminating such registration. The Common Stock is currently quoted on the OTC Bulletin Board (the “OTCBB”) under the symbol “CICI.” The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market, except notice from OTC Markets that the Company no longer meets the requirements of trading on the OTCQB. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements of such Trading Marketto which it is now subject.

Appears in 1 contract

Samples: Securities Purchase Agreement (Terex Energy Corp)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the SEC Commission is contemplating terminating such registration. The Common Stock is currently quoted on Other than in connection with the OTC Bulletin Board (Company’s removal from the “OTCBB”) under NYSE Amex Exchange, the symbol “CICI.” The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements of such Trading Marketrequirements.

Appears in 1 contract

Samples: Securities Purchase Agreement (SCOLR Pharma, Inc.)

Listing and Maintenance Requirements. The Company’s Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed toto terminate, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the SEC is contemplating terminating such registration. The Common Stock is currently quoted Except as set forth on Schedule 5(ll) the OTC Bulletin Board (the “OTCBB”) under the symbol “CICI.” The Company has not, in the 12 months preceding the date hereof, received notice from any Trading the Primary Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Primary Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements of such Trading Marketrequirements.

Appears in 1 contract

Samples: Securities Purchase Agreement (Darkstar Ventures, Inc.)

Listing and Maintenance Requirements. The Company’s Common Stock is registered pursuant to Section 12(g12(b) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the SEC Commission is contemplating terminating such registration. The Common Stock is currently quoted Except as set forth on Schedule 3.1(v), SEC Reports, the OTC Bulletin Board (Registration Statement or the “OTCBB”) under Prospectus, the symbol “CICI.” The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements of such Trading Market.

Appears in 1 contract

Samples: Securities Purchase Agreement (Focus Enhancements Inc)

Listing and Maintenance Requirements. The Company’s Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the SEC Commission is contemplating terminating such registration. The Common Stock is currently quoted on the OTC Bulletin Board (the “OTCBB”) under the symbol “CICI.” The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The , except notice that the Company is, and has no reason to believe that it will is not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements of such Trading Marketin that it is below $1.00 bid price.

Appears in 1 contract

Samples: Securities Purchase Agreement (Saflink Corp)

Listing and Maintenance Requirements. The Company’s Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed toto terminate, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the SEC is contemplating terminating such registration. The Common Stock is currently quoted Except as provided on Schedule 4(y), the OTC Bulletin Board (the “OTCBB”) under the symbol “CICI.” The Company has not, in the 12 twelve (12) months preceding the date hereof, received notice from any Trading Primary Market (as defined herein below) on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Primary Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements of such Trading Marketrequirements.

Appears in 1 contract

Samples: Securities Purchase Agreement (New Media Lottery Services Inc)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the SEC Commission is contemplating terminating such registration. The Common Stock is currently quoted on Except as disclosed in the OTC Bulletin Board (Company’s SEC Reports, the “OTCBB”) under the symbol “CICI.” The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and immediately after the consummation of the transactions contemplated by the Transaction Documents will be, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements of such the Trading Market.

Appears in 1 contract

Samples: Subscription Agreement (ZBB Energy Corp)

Listing and Maintenance Requirements. The Company’s Common Stock is listed on the TSX and is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act or the listing of the Common Stock on the TSX nor has the Company received any notification that the SEC is Commission or the TSX, respectively, are contemplating terminating such registration. The Common Stock is currently quoted on the OTC Bulletin Board (the “OTCBB”) under the symbol “CICI.” The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements of such Trading Marketrequirements.

Appears in 1 contract

Samples: Securities Purchase Agreement (PreMD Inc.)

Listing and Maintenance Requirements. The Company’s Common Stock is registered pursuant to Section 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the SEC Commission is contemplating terminating such registration. The Common Stock is currently quoted on Except as set forth in the OTC Bulletin Board (SEC Reports or the “OTCBB”) under Current 10-KSB, the symbol “CICI.” The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Subject to obtaining the Required Approvals, the Company is, and has no reason to believe that it will not in the foreseeable future continue to be, is in compliance with all such listing and maintenance requirements of such Trading Marketrequirements.

Appears in 1 contract

Samples: Securities Purchase Agreement (Intrusion Inc)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under pursuant to the Exchange Act nor has the Company received any notification that the SEC Commission is currently contemplating terminating such registration. The Common Stock is currently quoted on Except as disclosed in the OTC Bulletin Board (SEC Reports, the “OTCBB”) under the symbol “CICI.” The Company has not, in the 12 twelve (12) months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe Market that it will not would result in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements of such Trading Marketimmediate delisting.

Appears in 1 contract

Samples: Subscription Agreement (Anthera Pharmaceuticals Inc)

Listing and Maintenance Requirements. The Company’s Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the SEC Commission is contemplating terminating such registration. The Common Stock is currently quoted on Except as disclosed in the OTC Bulletin Board (SEC Reports or the “OTCBB”) under Time of Sale Prospectus, the symbol “CICI.” The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements of such Trading Marketrequirements.

Appears in 1 contract

Samples: Placement Agent Agreement (OccuLogix, Inc.)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(g12(b) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the SEC is contemplating terminating such registration. The Common Stock is currently quoted on Except as set forth in Section 3.14 of the OTC Bulletin Board (Schedule of Exceptions, the “OTCBB”) under the symbol “CICI.” The Company has not, in the 12 months preceding the date hereof, received notice from the Over the Counter Bulletin Board, Nasdaq or any Trading Market trading market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Markettrading market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements of such Trading Marketrequirements.

Appears in 1 contract

Samples: Secured Convertible Note and Warrant Purchase Agreement (Patient Safety Technologies, Inc)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the SEC Commission is contemplating terminating such registration. The Common Stock is currently quoted on Except as disclosed in the OTC Bulletin Board (SEC Reports or in press releases of the “OTCBB”) under Company, the symbol “CICI.” The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements of such Trading Marketrequirements.

Appears in 1 contract

Samples: Securities Purchase Agreement (Opexa Therapeutics, Inc.)

Listing and Maintenance Requirements. The Company’s Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the SEC Commission is contemplating terminating such registration. The Common Stock is currently quoted Except as disclosed on Form 6-K filed by the OTC Bulletin Board (Company on November 1, 2006 and February 12, 2007, the “OTCBB”) under the symbol “CICI.” The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements of such Trading Marketrequirements.

Appears in 1 contract

Samples: Securities Purchase Agreement (Tower Semiconductor LTD)

Listing and Maintenance Requirements. The Company’s Common Stock is registered pursuant to Section 12(g12(b) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect ofof and is not aware of any facts or circumstances that could result in, terminating the registration of the Common Stock under the Exchange Act or delisting the Common Stock from a Trading Market nor has the Company received any notification that the SEC Commission is contemplating terminating such registration. The Common Stock is currently quoted on the OTC Bulletin Board (the “OTCBB”) under the symbol “CICI.” The Company has not, in the 12 twelve (12) months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance in all material respects with all such listing and maintenance requirements of such Trading Marketrequirements.

Appears in 1 contract

Samples: Securities Purchase Agreement (Cytogen Corp)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the SEC Commission is contemplating terminating such registration. The Common Stock is currently quoted on Except as disclosed in the OTC Bulletin Board (Company’s SEC filings, the “OTCBB”) under the symbol “CICI.” The Company has not, in the 12 twelve (12) months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements of such Trading Marketrequirements.

Appears in 1 contract

Samples: Exchange Agreement (Greenlane Holdings, Inc.)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(g12(b) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under pursuant to the Exchange Act nor has the Company received any notification that the SEC is currently contemplating terminating such registration. The Common Stock is currently quoted listed on (i) the OTC Bulletin Board (the “OTCBB”) Principal Market under the trading symbol “CICI.HTMand (ii) the TSX under the trading symbol “GTH”. The Company has not, in the 12 months preceding the date hereof, received any notice from any Trading Market on which the Common Stock is or has been listed or quoted Person to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Marketthe Principal Market or the TSX. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements of such Trading Marketrequirements.

Appears in 1 contract

Samples: Purchase Agreement (Us Geothermal Inc)

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Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(g12(b) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under pursuant to the Exchange Act nor has the Company received any notification that the SEC is currently contemplating terminating such registration. The Common Stock is currently quoted Securities have been approved for listing on the OTC Bulletin Board (the “OTCBB”) under the symbol “CICI.” Principal Market. The Company has nottaken no action designed to, in or likely to have the 12 months preceding effect of, delisting the date hereofCommon Stock from the Principal Market, nor has the Company received any notice from any Trading Market on which the Common Stock is or has been listed or quoted Person to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading the Principal Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements of such Trading Marketrequirements.

Appears in 1 contract

Samples: Purchase Agreement (Histogen Inc.)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(g12(b) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the SEC Commission is contemplating terminating such registration. The Common Stock is currently quoted on the OTC Bulletin Board (the “OTCBB”) under the symbol “CICI.” The Company has not, in the 12 months three years preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements requirements. The issuance by the Company of such the Shares shall not have the effect of delisting or suspending the Common Stock from any Trading Market.

Appears in 1 contract

Samples: Securities Purchase Agreement (ChromaDex Corp.)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the SEC Commission is contemplating terminating such registration. The Common Stock is currently quoted on Except as disclosed in the OTC Bulletin Board (Registration Statement, Prospectus, Prospectus Supplement or the “OTCBB”) under SEC Reports, the symbol “CICI.” The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Except as disclosed in the Registration Statement, Prospectus, Prospectus Supplement or the SEC Reports, the Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements of such Trading Marketrequirements.

Appears in 1 contract

Samples: Securities Purchase Agreement (Epicept Corp)

Listing and Maintenance Requirements. The Company's Common Stock is registered pursuant to Section 12(g12(b) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge Knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the SEC Commission is contemplating terminating such registration. The Company's Common Stock is currently quoted listed for trading on the OTC Bulletin Board (American Stock Exchange. The Company is not in violation of the “OTCBB”) under listing requirements of the symbol “CICI.” American Stock Exchange. The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements of such Trading Marketrequirements.

Appears in 1 contract

Samples: Securities Purchase Agreement (Diomed Holdings Inc)

Listing and Maintenance Requirements. The Company's Common Stock is registered pursuant to Section 12(g12 (g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the SEC Commission is contemplating terminating such registration. The Common Stock is currently quoted on the OTC Bulletin Board (the “OTCBB”) under the symbol “CICI.” The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market trading market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Markettrading market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements requirements. The Company is in compliance with the rules and regulations of such Trading Marketthe NASD with respect to the trading of its shares of Common Stock on the OTCBB.

Appears in 1 contract

Samples: Common Stock Purchase Agreement (Crusader Capital Partners II LLC)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(g12(b) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor except as disclosed on Schedule 3.1(v), has the Company received any notification that the SEC Commission is contemplating terminating such registration. The Common Stock is currently quoted listed on the OTC Bulletin Board (the “OTCBB”) under the symbol “CICI.” Nasdaq Capital Market. The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements of such Trading Marketrequirements.

Appears in 1 contract

Samples: Securities Purchase Agreement (Vapor Corp.)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Purchase Stock under the Exchange Act nor has the Company received any notification that the SEC Commission is contemplating terminating such registration. The Common Stock is currently quoted Except as set forth on Schedule 3.24, attached hereto, the OTC Bulletin Board (the “OTCBB”) under the symbol “CICI.” The Company has not, in the 12 months preceding the date hereof, received notice from the NASDAQ Small-Cap Market or any Trading Market other trading market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Marketmarket. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, is in compliance with all such listing and maintenance requirements of such Trading Marketrequirements.

Appears in 1 contract

Samples: Exchange Agreement (North American Technologies Group Inc /Mi/)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(g) 12 of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the SEC Commission is contemplating terminating such registration. The Common Stock is currently quoted on the OTC Bulletin Board (the “OTCBB”) under the symbol “CICI.” The Company has not, in the 12 months preceding the date hereofAgreement Date, received notice from any the Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market, except in connection with notices which relate to compliance issues which have since been cured. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such the listing and maintenance requirements of such the Trading Market.

Appears in 1 contract

Samples: Termination Agreement (Camber Energy, Inc.)

Listing and Maintenance Requirements. The Company's Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed toto terminate, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the SEC is contemplating terminating such registration. The Common Stock is currently quoted on the OTC Bulletin Board (the “OTCBB”) under the symbol “CICI.” The Company has not, in the 12 months preceding the date hereof, received notice from any Trading the Primary Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Primary Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements of such Trading Marketrequirements.

Appears in 1 contract

Samples: Securities Purchase Agreement (Galaxy Next Generation, Inc.)

Listing and Maintenance Requirements. The Company's Common Stock is registered pursuant to Section 12(g12(b) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the SEC Commission is contemplating terminating such registration. The Common Stock is currently quoted Except as set forth in the SEC Reports and on Schedule 3.1(w), the OTC Bulletin Board (the “OTCBB”) under the symbol “CICI.” The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Except as set forth in the SEC Reports, the Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements of such Trading Marketrequirements.

Appears in 1 contract

Samples: Securities Purchase Agreement (Tutogen Medical Inc)

Listing and Maintenance Requirements. The Company’s Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the SEC Commission is contemplating terminating such registration. The Common Stock is currently quoted on Except as disclosed in press releases of the OTC Bulletin Board Company and any of the Incorporated Documents (including any of the “OTCBB”) under exhibits thereto), the symbol “CICI.” The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company isis currently, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements of such Trading Marketrequirements.

Appears in 1 contract

Samples: Placement Agent Agreement (Opexa Therapeutics, Inc.)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(g12(b) of the Exchange ActAct and listed on the NASDAQ Global Market (the “NASDAQ Stock Market”), and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act or delisting the Common Stock from the NASDAQ Stock Market nor has the Company received any notification that the SEC Commission is contemplating terminating such registration. The Common Stock is currently quoted on the OTC Bulletin Board (the “OTCBB”) under the symbol “CICI.” The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the material listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements of such Trading Market.

Appears in 1 contract

Samples: Securities Purchase Agreement (Biosante Pharmaceuticals Inc)

Listing and Maintenance Requirements. The Company's Common Stock is registered pursuant to Section 12(g12(b) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge Knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the SEC Commission is contemplating terminating such registration. The Company's Common Stock is currently quoted listed for trading on the OTC Bulletin Board (American Stock Exchange. Except as described in Schedule 3.1(w), the “OTCBB”) under Company is not in violation of the symbol “CICI.” The listing requirements of the American Stock Exchange. Except as described in Schedule 3.1(w), the Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Except as described in Schedule 3.1(w), the Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements of such Trading Marketrequirements.

Appears in 1 contract

Samples: Securities Purchase Agreement (Diomed Holdings Inc)

Listing and Maintenance Requirements. The Company’s Common Stock is registered pursuant to Section 12(g12(b) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act Act, nor has the Company received any notification that the SEC Commission is contemplating terminating such registration. The Common Stock is currently quoted on the OTC Bulletin Board (the “OTCBB”) under the symbol “CICI.” The Company has not, in the 12 months preceding the date hereofhereof or the Closing Date, received written notice from any Trading Market on which the Common Stock is or has been listed or quoted (as applicable) to the effect that the Company is not in compliance with the listing or quotation (as applicable) and maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it immediately after the consummation of the transactions contemplated hereby will not in the foreseeable future continue to be, in compliance with all such listing or quotation (as applicable) and maintenance requirements of such Trading Marketrequirements.

Appears in 1 contract

Samples: Common Stock Purchase Agreement (Adeona Pharmaceuticals, Inc.)

Listing and Maintenance Requirements. The Company's Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to, to terminate (or which to its knowledge is likely would reasonably be expected to have the effect of, terminating of terminating) the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the SEC Commission is contemplating terminating such registration. The Common Stock is currently quoted on the OTC Bulletin Board (the “OTCBB”) under the symbol “CICI.” The Company has not, in the 12 months preceding the date hereof, received written notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance in all material respects with all such the listing and maintenance requirements for continued trading of such the Common Stock on the Principal Trading Market.

Appears in 1 contract

Samples: Securities Purchase Agreement (Ivivi Technologies, Inc.)

Listing and Maintenance Requirements. The Company’s Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the SEC Commission is contemplating terminating such registration. The Common Stock is currently quoted on Except as disclosed in the OTC Bulletin Board (Registration Statement or the “OTCBB”) under SEC Reports, the symbol “CICI.” The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company isEpiCept Corporation August 11, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements of such Trading Market.2008

Appears in 1 contract

Samples: Placement Agent Agreement (Epicept Corp)

Listing and Maintenance Requirements. The Corporation’s Common Stock is registered pursuant to Section § 12(b) or 12(g) of the Exchange Act, and the Company Corporation has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company Corporation received any notification that the SEC Commission is contemplating terminating such registrationregistration of the Common Stock quoted for trading on the OTCBB. The Common Stock is currently quoted on the OTC Bulletin Board (the “OTCBB”) under the symbol “CICI.” The Company Corporation has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company Corporation is not in compliance with the listing or maintenance requirements of such Trading Market. The Company Corporation is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements of such Trading Marketrequirements.

Appears in 1 contract

Samples: Securities Purchase Agreement (No Show, Inc.)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the SEC Commission is contemplating terminating such registration. The Common Stock is currently quoted on As set forth in the OTC Bulletin Board (SEC Reports, including without limitation the “OTCBB”) under Form 8-K filed August 28, 2009, the symbol “CICI.” The Company has nothas, in the 12 months preceding the date hereof, received notice from any a Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The ; and the Company isis not, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements of such Trading Marketrequirements.

Appears in 1 contract

Samples: Securities Purchase Agreement (Hythiam Inc)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to, or which which, to its knowledge the Knowledge of the Company, is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the SEC Commission is contemplating terminating such registration. The Common Stock is currently quoted Except as set forth on the OTC Bulletin Board (the “OTCBB”) under the symbol “CICI.” Schedule 3.1(u), The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements of such Trading Marketrequirements.

Appears in 1 contract

Samples: Securities Purchase Agreement (Cleveland Biolabs Inc)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the SEC Commission is contemplating terminating such registration. The Common Stock is currently quoted on the OTC Bulletin Board (the “OTCBB”) under the symbol “CICI.” The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Markettrading market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements requirements. The issuance and sale of such the Securities hereunder does not contravene the rules and regulations of the Trading MarketMarket on which the Company’s Common Stock is listed or quoted.

Appears in 1 contract

Samples: Securities Purchase Agreement (Kitara Media Corp.)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(g) 12 of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has nor, to the Company received any notification that Company’s knowledge, is the SEC is contemplating terminating such registration. The Common Stock is currently quoted on Except as set forth in Schedule 4.1(w) to the OTC Bulletin Board (Disclosure Schedules or as set forth in the “OTCBB”) under SEC Reports, the symbol “CICI.” The Company has not, in the 12 months preceding the date hereofEffective Date, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not Except as set forth in the foreseeable future continue to beSEC Reports, the Company is in compliance with all such listing and maintenance requirements of such Trading Marketrequirements.

Appears in 1 contract

Samples: Securities Purchase Agreement (Daystar Technologies Inc)

Listing and Maintenance Requirements. The Company’s Common Stock is registered pursuant to Section 12(g) of the Exchange Act, and except as set forth on Schedule 3.1(w), the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the SEC Commission is contemplating terminating such registration. The Common Stock is currently quoted Except as set forth on Schedule 3.1(w), the OTC Bulletin Board (the “OTCBB”) under the symbol “CICI.” The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements of such Trading Marketrequirements.

Appears in 1 contract

Samples: Securities Purchase Agreement (Gigabeam Corp)

Listing and Maintenance Requirements. The Company’s Common Stock is registered pursuant to Section 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the SEC Commission is contemplating terminating such registration. The Common Stock is currently quoted on the OTC Bulletin Board (the “OTCBB”) under the symbol “CICI.” The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and which has no reason not been addressed, contested or appealed and/or for which an extension of time to believe that it will not in the foreseeable future continue to be, in come into compliance with all such listing and maintenance requirements of such Trading Markethas been granted.

Appears in 1 contract

Samples: Securities Purchase Agreement (Barfresh Food Group Inc.)

Listing and Maintenance Requirements. The Company’s Common Stock is registered pursuant to Section 12(g12(b) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating terminate the registration of the Common Stock under the Exchange Act Act, nor has the Company received any notification that the SEC Commission is contemplating terminating such registration. The Common Stock is currently quoted There are no proceedings pending or, to the Company’s Knowledge, threatened against the Company relating to the continued listing of the Company’s common stock on the OTC Bulletin Board (Principal Trading Market and the “OTCBB”) under the symbol “CICI.” The Company has not, in the 12 months preceding the date hereof, received written notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, is in compliance with all such listing and maintenance requirements of the Principal Trading Market on the date hereof and the issuance of the Securities will not violate any such Trading Marketlisting or maintenance requirements.

Appears in 1 contract

Samples: Securities Purchase Agreement (Corindus Vascular Robotics, Inc.)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(g12(b) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act Act, nor has the Company received any notification that the SEC Commission is contemplating terminating such registration. The Common Stock is currently quoted on the OTC Bulletin Board (the “OTCBB”) under the symbol “CICI.” The Company has not, in the 12 twelve months preceding the date hereofhereof or the Closing Date, received notice from any the Trading Market or any other stock exchange on which the Common Stock is or has been listed or quoted (as applicable) to the effect that the Company is not in compliance with the listing or quotation (as applicable) and maintenance requirements of the Trading Market or such Trading Marketstock exchange. The Company is, and has no reason to believe that it immediately after the consummation of the transactions contemplated hereby will not in the foreseeable future continue to be, in compliance with all such listing or quotation (as applicable) and maintenance requirements of such Trading Marketrequirements.

Appears in 1 contract

Samples: Underwriting Agreement (Cytori Therapeutics, Inc.)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed toto terminate, or which that, to its knowledge knowledge, is likely to have the effect ofof terminating, terminating the registration of the Common Stock under the Exchange Act Act, nor has the Company received any notification that the SEC Commission is contemplating terminating such registration. The Common Stock is currently quoted on Except as set forth in SEC Reports, the OTC Bulletin Board (the “OTCBB”) under the symbol “CICI.” The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements of such Trading Marketrequirements.

Appears in 1 contract

Samples: Securities Purchase Agreement (NXT-Id, Inc.)

Listing and Maintenance Requirements. The Company's Common --------------------------------------- Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the SEC Commission is contemplating terminating such registration. The Common Stock is currently quoted on the OTC Bulletin Board (the “OTCBB”) under the symbol “CICI.” The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements of such Trading Marketrequirements.

Appears in 1 contract

Samples: Securities Purchase Agreement (UC Hub Group Inc)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the SEC is contemplating terminating such registration. The Common Stock is currently quoted on Other than as set forth in the OTC Bulletin Board (Company’s 8-K filings, the “OTCBB”) under the symbol “CICI.” The Company has not, in the 12 twelve (12) months preceding the date hereof, received notice from any Trading the Principal Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Principal Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements of such Trading Marketrequirements.

Appears in 1 contract

Samples: Equity Purchase Agreement (Notis Global, Inc.)

Listing and Maintenance Requirements. The Company’s Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the SEC Commission is contemplating terminating such registration. The Common Stock is currently quoted on Except as disclosed in the OTC Bulletin Board (attached Schedule 3.1(v), the “OTCBB”) under the symbol “CICI.” The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements of such Trading Marketrequirements.

Appears in 1 contract

Samples: Securities Purchase Agreement (Ambient Water Corp)

Listing and Maintenance Requirements. The Company’s Common Stock is registered pursuant to Section 12(g) of the Exchange ActAct and listed on the Trading Market, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act or de-listing or suspending from trading the Common Stock on the Trading Market nor has the Company received any notification that the SEC or Trading Market is contemplating terminating such registrationregistration or listing, as applicable. The Common Stock is currently quoted on the OTC Bulletin Board (the “OTCBB”) under the symbol “CICI.” The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, is in compliance in all material respects with all such listing and maintenance requirements of such Trading Marketrequirements.

Appears in 1 contract

Samples: Securities Subscription Agreement (Marshall Edwards Inc)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the SEC Commission is contemplating terminating such registration. The Common Stock is currently quoted on the OTC Bulletin Board (the “OTCBB”) under the symbol “CICI.” The Company has not, in the 12 months preceding the date hereof, received notice from the OTC Bulletin Board (the “Trading Market”) or any Trading Market other trading market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements of such Trading Marketrequirements.

Appears in 1 contract

Samples: Placement Agency Agreement (Brainstorm Cell Therapeutics Inc)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the SEC Commission is contemplating terminating such registration. The Common Stock is currently quoted on the OTC Bulletin Board (the “OTCBB”) under the symbol “CICI.” The Company has not, in from September 10, 2009, the 12 months preceding date of the Trading Market’s letter approving the Company’s continued listing on such Trading Market, and until the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason is unaware of any facts or circumstances that could reasonably be expected to believe that it will not in cause failure to maintain the foreseeable future continue to be, in compliance with all such continued listing and maintenance requirements of such the Common Stock on the Trading Market.

Appears in 1 contract

Samples: Securities Purchase Agreement

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(g12(b) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the SEC is contemplating terminating such registration. The Common Stock is currently quoted on Except as set forth in Section 3.14 of the OTC Bulletin Board (Schedule of Exceptions, the “OTCBB”) under the symbol “CICI.” The Company has not, in the 12 months preceding the date hereof, received notice from the Over the Counter Bulletin Board, Nasdaq or any Trading Market trading market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Markettrading market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, is in compliance with all such listing and maintenance requirements of such Trading Marketat this time.

Appears in 1 contract

Samples: Secured Convertible Note and Warrant Purchase Agreement (Patient Safety Technologies, Inc)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act Act, nor has the Company received any notification that the SEC is contemplating terminating such registration. The Common Stock is currently quoted on the OTC Bulletin Board (the “OTCBB”) under the symbol “CICI.” The Company has not, in the 12 months preceding the date hereof, received notice from the OTC Pink marketplace operated by the OTC Markets Group (“OTC Pink”) or any Trading Market other exchange or quotation service on which the Common Stock is or has been listed or quoted (the “Trading Market”) to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements of such Trading Marketrequirements.

Appears in 1 contract

Samples: Exchange Agreement (Spectrum Global Solutions, Inc.)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(g12(b) of the Exchange Act, and the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the SEC is contemplating terminating such registration. The Except for in connection with the listing of the Common Stock is currently quoted on being moved from the OTC Bulletin Board (OTCQX to the “OTCBB”) under NASDAQ Capital Market effective November 9, 2016, the symbol “CICI.” The Company has not, in since the 12 months preceding the date hereofReference Date, received notice from any Trading Market trading market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Markettrading market. The Company is, and has no reason to believe that it will not is in the foreseeable future continue to be, in material compliance with all such the continued listing and maintenance requirements of such Trading the NASDAQ Capital Market.

Appears in 1 contract

Samples: Subscription Agreement (Diffusion Pharmaceuticals Inc.)

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