NASD Compliance. The Investor acknowledges that if it is a Registered Representative (as defined by the NASD) of a National Association of Securities Dealers (“NASD”) member firm, the Investor must give such firm the notice required by the NASD’s Rules of Fair Practice, receipt of which must be acknowledged by such firm on the signature page hereof.
NASD Compliance. Cooperate with each Selling Holder and each underwriter or agent, if any, participating in the disposition of such Registrable Securities and their respective counsel in connection with any filings required to be made with the NASD;
NASD Compliance. The Placement Agent (i) maintains all licenses and registrations necessary under applicable law and regulations (including the rules of the NASD) to provide the services required to be provided by the Placement Agent under this Agreement, (ii) has submitted or will submit all filings required under the rules and regulations of the NASD with respect to this Agreement and the transactions contemplated hereby, and (iii) will use its best efforts to obtain confirmation from the NASD, prior to the Closing Date, that the NASD will not raise any objection with respect to the fairness or reasonableness of the placement agent compensation, or other arrangements of the transactions, contemplated hereby.
NASD Compliance. The Company shall timely provide to the Investor a copy of all materials required to be filed by the Company and/or received by the Company from the National Association of Securities Dealers ("NASD") under Corporate Financing Rule 2710, and use reasonable efforts to cooperate with the Investor and any broker selling Shares on behalf of the Investor to facilitate the Investor and/or broker to obtain any additional consents, authorizations or approvals that may be necessary for the NASD to permit the Investor to sell the Shares.
NASD Compliance. In no event shall Parent issue shares of Parent Common Stock pursuant to this Agreement if the number of shares of Parent Common Stock to be issued would result in the issuance of a number of shares of Parent Common Stock pursuant to this Agreement that is equal to or in excess of twenty percent (20%) of the number of shares of Parent Common Stock outstanding as of the date of this Agreement without first obtaining shareholder approval pursuant to NASD Rule 4350(i)(C).
NASD Compliance. (i) Conduct periodic reviews of trends and interpretation of NASD rules and offer recommendations related to marketing, advertising and communication materials; (ii) Provide compliance tracking; and (iii) Provide PFPC Disclosure Digest tool for compliance guidance. (e)
NASD Compliance. In accordance with Rule 2710(b)(7)(C)(i) of the National Association of Securities Dealers, Inc. (the “NASD”), the Offered Units have been registered with the Commission on Form S-3 under the Act pursuant to the standards for such Form S-3 in effect prior to October 21, 1992;
NASD Compliance. The Common Stock is registered pursuant to Section 12(g) of the Securities Exchange Act of 1934 (the “Exchange Act”) and is listed on the National Association of Securities Dealers, Inc. (“NASD”) Bulletin Board System (the “OTCBB”), and the Company has taken no action designed to, or likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act or de-listing the Common Stock from the OTCBB, nor has the Company received any notification that the SEC or the NASD is contemplating terminating such registration or listing.
NASD Compliance. UBICS has complied with the reporting and other requirements of the National Association of Securities Dealers to have its common stock listed on Nasdaq.
NASD Compliance. The Company will comply with all of the requirements of the National Association of Securities Dealers with respect to the issuance of the Securities and the Warrant Shares.
