Municipal Advisor Rules Sample Clauses

Municipal Advisor Rules. The City acknowledges that Consultant may not be able to perform some of the services the City may request of Consultant from time to time in connection with Consultant’s engagement as lead underwriter to the extent that such services would cause Consultant to be considered a “municipal advisor” under SEC Rel. No. 34- 70462 (Sept. 20, 2013) (such final rules and to the extent referenced therein, Section 975, the “Municipal Advisor Rules”) implementing Section 975 (“Section 975”) of the Xxxx-Xxxxx Xxxx Street Reform and Consumer Protection Act. (End of page. Next page is signature page.) Signature Page to Agreement between City of Chula Vista and X.X. Xxxxxx Securities LLC, To Provide Investment Banking & Bond Underwriting Services for the Bayfront Project
Sample 1
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Municipal Advisor Rules. This term sheet is provided to the Borrower pursuant to and in reliance upon the “bank exemption” provided under the municipal advisor rules of the Securities and Exchange Commission, Rule 15Ba1-1 seq.
Sample 1
Municipal Advisor Rules. The Investor understands that the Investor must provide the General Partner with information necessary to determine whether the Investor is a “municipal entity” or an “obligated person” as those terms are defined in Section 15B(e) of the U.S. Securities Exchange Act of 1934, as amended (the “Exchange Act”), for purposes of compliance with the U.S. Securities and Exchange Commission’s Municipal Advisor Rules. The Investor has fully completed Annex E hereto, and the information set forth in Annex E hereto is true and correct.
Sample 1
Municipal Advisor Rules. The City acknowledges that X.X. Xxxxxx may not be able to perform some of the services the City may request of X.X. Xxxxxx from time to time in connection with X.X. Xxxxxx’x engagement as Remarketing Agent to the extent that such services would cause X.X. Xxxxxx to be considered a “municipal advisor” under SEC Rel. No. 34-70462 (Sept. 20, 2013) (such final rules and to the extent referenced therein, Section 975, the “Municipal Advisor Rules”) implementing Section 975 (“Section 975”) of the Xxxx-Xxxxx Xxxx Street Reform and Consumer Protection Act.
Sample 1

Related to Municipal Advisor Rules

  • Amendments Concerning Agency Function The Agent shall not be bound by any waiver, amendment, supplement or modification of this Agreement or any other Facility Document which affects its duties hereunder or thereunder unless it shall have given its prior consent thereto.

  • Authority of the Advisor (a) Pursuant to the terms of this Agreement (including the restrictions included in this Section 4 and in Section 7), and subject to the continuing and exclusive authority of the Directors over the management of the Company, the Board hereby delegates to the Advisor the authority to take those actions set forth in Section 3.

  • No Financial Advisor, Placement Agent, Broker or Finder The Company represents and warrants to the Investor that it has not engaged any financial advisor, placement agent, broker or finder in connection with the transactions contemplated hereby. The Investor represents and warrants to the Company that it has not engaged any financial advisor, placement agent, broker or finder in connection with the transactions contemplated hereby. The Company shall be responsible for the payment of any fees or commissions, if any, of any financial advisor, placement agent, broker or finder relating to or arising out of the transactions contemplated hereby. The Company shall pay, and hold the Investor harmless against, any liability, loss or expense (including, without limitation, attorneys' fees and out of pocket expenses) arising in connection with any such claim.

  • Brokers, Finders and Investment Bankers Neither the Purchaser, nor any of its Affiliates, partners, members, shareholders, directors, officers or employees, has employed any broker, finder or investment banker or incurred any liability for any investment banking fees, financial advisory fees, brokerage fees or finders’ fees in connection with the transactions contemplated hereby for which the Sellers have liability.

  • No Conflict; Government Consent Neither the execution and delivery by the Borrower or any Guarantor of the Loan Documents to which it is a party, nor the consummation of the transactions therein contemplated, nor compliance with the provisions thereof will violate in any material respect (i) any law, rule, regulation, order, writ, judgment, injunction, decree or award binding on the Borrower or any Guarantor or (ii) the Borrower’s or any Guarantor’s articles or certificate of incorporation, partnership agreement, certificate of partnership, articles or certificate of organization, by-laws, or operating or other management agreement, as the case may be, or (iii) the provisions of any indenture, instrument or agreement to which the Borrower or any Guarantor is a party or is subject, or by which it, or its Property, is bound, or conflict with or constitute a default thereunder, or result in, or require, the creation or imposition of any Lien in, of or on the Property of the Borrower or any Guarantor pursuant to the terms of any such indenture, instrument or agreement. No order, consent, adjudication, approval, license, authorization, or validation of, or filing, recording or registration with, or exemption by, or other action in respect of any governmental or public body or authority, or any subdivision thereof, which has not been obtained by the Borrower or any Guarantor, is required to be obtained by the Borrower or any Guarantor in connection with the execution and delivery of the Loan Documents, the borrowings under this Agreement, the payment and performance by the Borrower or any Guarantor of the Obligations or the legality, validity, binding effect or enforceability of any of the Loan Documents.

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