No Broker-Dealer Subsidiary. No Seller Entity is a broker-dealer required to be registered under the Exchange Act with the SEC.
No Broker-Dealer Subsidiary. Neither Southwest nor any Southwest Subsidiary is a broker-dealer required to be registered under the Exchange Act with the SEC.
No Broker-Dealer Subsidiary. Except as set forth on Section 4.38 of Malvern’s Disclosure Memorandum, neither Malvern nor any Malvern Subsidiary is a broker-dealer required to be registered under the Exchange Act with the SEC.
No Broker-Dealer Subsidiary. Neither TCBI nor any Subsidiary of TCBI is a broker-dealer required to be registered under the Exchange Act with the SEC.
No Broker-Dealer Subsidiary. Neither IBTX nor any Subsidiary of IBTX is a broker-dealer required to be registered under the Exchange Act with the SEC.
No Broker-Dealer Subsidiary. ANCX represents and warrants to UBSH that: Neither it nor any of its Subsidiaries is a broker-dealer registered under the Exchange Act with the SEC.
No Broker-Dealer Subsidiary. Neither First Texas nor any First Texas Subsidiary is a broker-dealer required to be registered under the Exchange Act with the SEC.
No Broker-Dealer Subsidiary. Neither Legacy nor any Legacy Subsidiary is a broker-dealer required to be registered under the Exchange Act with the SEC. Neither Legacy nor any Legacy Subsidiary is subject to Section 9(c) or 9(b) of the Investment Company Act of 1940.
No Broker-Dealer Subsidiary. No Subsidiary of National Penn is a broker-dealer required to be registered under the Exchange Act with the SEC.
No Broker-Dealer Subsidiary. Neither CBTX nor any CBTX Subsidiary is a broker-dealer required to be registered under the Exchange Act with the SEC.
