NASD Report Sample Clauses

NASD Report. (i) The Company has delivered to WMLLC a true, correct and complete copy of the Company's information report filed with the OTCBB pursuant to Rule 6740 (the "Rule"), as promulgated by the NASD, together with all amendments thereof and supplements thereto (as such document has since the time of its filing been amended or supplemented, the "Company NASD Report"), which is the only document (other than preliminary material) that the Company was required to file with the NASD since such date. As of its date, the Company NASD Report (i) complied as to form in all material respects with the requirements of the Rule, and (ii) did not contain any untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary in order to make the statements therein, in light of the circumstances under which they were made, not misleading. The unaudited financial statements (including, in each case, the notes, if any, thereto) included in the Company NASD Report complied as to form in all material respects with the published rules and regulations of the NASD with respect thereto.
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NASD Report. (i) The Parent has delivered to Mango a true, correct, and complete copy of the Parent's information report filed with the OTCBB of the NASD on April 9, 1996
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NASD Report. 18 (g) Absence of Certain Changes or Events....................................................19 (h) Absence of Undisclosed Liabilities.....................................................19 (i)
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NASD Report. (i) Parent has delivered to booktech a true, correct and complete copy of Parent's information report filed with the OTCBB pursuant to Rule 6740 (the "Rule"), as promulgated by the NASD, together with all amendments thereof and supplements thereto (as such document has since the time of its filing been amended or supplemented), the ("NASD Report"), which is the only document (other than preliminary material) that Parent was required to file with the NASD since such date. As of its date, the NASD Report (i) complied as to form in all material respects with the requirements of the Rule, and (ii) did not contain any untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary in order to make the statements therein, in light of the circumstances under which they were made, not misleading.
Sample 1
NASD Report. (i) To the knowledge of the Parent, the Parent has made all requisite filings with the National Association of Securities Dealers (the "NASD") and the Over-the-Counter Bulletin Board (the "OTCBB") pursuant to Rule 6740 (the "Rule"). As of the date of filing thereof, such filings (i) complied as to form in all material respects with the requirements of the Securities Exchange Act of 1934, as amended, and the rules promulgated by the NASD, and (ii) did not contain any untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary in order to make the statements therein, in light of the circumstances under which they were made, not misleading.
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Related to NASD Report

  • Publicly Available Statements and Reports For a period of five (5) years from the Effective Date or until such earlier time that the Company is required to be liquidated or the Common Stock and Warrants cease to be publicly traded, the Company will furnish to the Representative such copies of financial statements and other periodic and special reports as the Company from time to time furnishes generally to holders of any class of its securities and such additional documents and information with respect to the Company as the Representative may from time to time reasonably request. Any financial statements and reports filed on the Commission’s XXXXX website or otherwise available on the Company’s website will be considered furnished for purposes of this section.

  • CONFIDENTIAL PORTION OMITTED AND FILED SEPARATELY WITH THE SECURITIES AND EXCHANGE COMMISSION 2.2 [**]

  • Asset Management a. Data Sensitivity - Transfer Agent acknowledges that it understands the sensitivity of Fund Data.

  • CONFIDENTIAL PORTIONS OMITTED AND FILED SEPARATELY WITH THE COMMISSION LICENSE AGREEMENT PAGE 5

  • NASD AFFILIATION Are you affiliated or associated with an NASD member firm (please check one): Yes _________ No __________ If Yes, please describe: _________________________________________________________ _________________________________________________________ _________________________________________________________ *If Subscriber is a Registered Representative with an NASD member firm, have the following acknowledgment signed by the appropriate party: The undersigned NASD member firm acknowledges receipt of the notice required by Article 3, Sections 28(a) and (b) of the Rules of Fair Practice. _________________________________ Name of NASD Member Firm By: ______________________________ Authorized Officer Date: ____________________________

  • Financial Public Relations Firm Promptly after the execution of a definitive agreement for a Business Combination, the Company shall retain a financial public relations firm reasonably acceptable to the Representative for a term to be agreed upon by the Company and the Representative.

  • Excess Brokerage Commissions The Adviser is hereby authorized, to the fullest extent now or hereafter permitted by law, to cause the Corporation to pay a member of a national securities exchange, broker or dealer an amount of commission for effecting a securities transaction in excess of the amount of commission another member of such exchange, broker or dealer would have charged for effecting that transaction, if the Adviser determines in good faith, taking into account such factors as price (including the applicable brokerage commission or dealer spread), size of order, difficulty of execution, and operational facilities of the firm and the firm’s risk and skill in positioning blocks of securities, that such amount of commission is reasonable in relation to the value of the brokerage and/or research services provided by such member, broker or dealer, viewed in terms of either that particular transaction or its overall responsibilities with respect to the Corporation’s portfolio, and constitutes the best net results for the Corporation.

  • REQUESTS FROM COMMISSION The Company will promptly advise the Dealer Manager of any request made by the Commission or a state securities administrator for amending the Registration Statement, supplementing the Prospectus or for additional information.

  • Current Report The Company shall, not later than 5:30 p.m., New York City time, on the fourth business day after the date of this Agreement, file with the SEC a current report on Form 8-K disclosing the execution of this Agreement by the Company and the Investor (including any exhibits thereto, the “Current Report”). The Company shall provide the Investor and its legal counsel a reasonable opportunity to comment on any description of this Agreement contained in a draft of the Current Report, including any exhibit to be filed related thereto, as applicable, prior to filing the Current Report with the SEC and shall give due consideration to all such comments. From and after the filing of the Current Report with the SEC, the Company shall have publicly disclosed all material, non-public information delivered to the Investor (or the Investor’s representatives or agents) by the Company or any of its Subsidiaries, or any of their respective officers, directors, employees, agents or representatives (if any) in connection with the transactions contemplated by the Transaction Documents. The Company shall not, and the Company shall cause each of its Subsidiaries and each of its and their respective officers, directors, employees and agents not to, provide the Investor with any material, non-public information regarding the Company or any of its Subsidiaries without the express prior written consent of the Investor (which may be granted or withheld in the Investor’s sole discretion); it being understood that the mere notification of Investor required pursuant to clause (iv) of Section 6.08 shall not in and of itself be deemed to be material, non-public information. Notwithstanding anything contained in this Agreement to the contrary, the Company expressly agrees that it shall publicly disclose in the Current Report or otherwise make publicly available any information communicated to the Investor by or, to the knowledge of the Company, on behalf of the Company in connection with the transactions contemplated herein, which, following the date hereof would, if not so disclosed, constitute material, non-public information regarding the Company or its Subsidiaries. The Company understands and confirms that the Investor will rely on the foregoing representations in effecting resales of Shares under a Registration Statement. In addition, effective upon the filing of the Current Report, the Company acknowledges and agrees that any and all confidentiality or similar obligations with respect to the transactions contemplated by the Transaction Documents under any agreement, whether written or oral, between the Company, any of its Subsidiaries or any of their respective officers, directors, affiliates, employees or agents, on the one hand, and Investor or any of its respective officers, directors, affiliates, employees or agents, on the other hand, shall terminate.

  • Financial Services Provides treasury, accounting, tax, financial planning, rate and auditing services services. Costs of a general nature are allocated using the Three-Factor Formula.

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