No Investment Advisor Subsidiary; No Broker-Dealer Subsidiary. (a) No LINK Subsidiary is required to be registered with the SEC as an investment adviser under the Investment Advisers Act of 1940, as amended. (b) No LINK Subsidiary is a broker-dealer or is required to be registered as a “broker” or “dealer” in accordance with the provisions of the Exchange Act, and no employee of a Subsidiary of LINK is required to be registered, licensed or qualified as a registered representative of a broker-dealer under, and in compliance with, applicable law.
Appears in 2 contracts
Samples: Merger Agreement (LINKBANCORP, Inc.), Merger Agreement (Partners Bancorp)
No Investment Advisor Subsidiary; No Broker-Dealer Subsidiary. (a) No LINK Partners Subsidiary is required to be registered with the SEC as an investment adviser under the Investment Advisers Act of 1940, as amended.
(b) No LINK Partners Subsidiary is a broker-dealer or is required to be registered as a “broker” or “dealer” in accordance with the provisions of the Exchange Act, and no employee of a Subsidiary of LINK Partners is required to be registered, licensed or qualified as a registered representative of a broker-dealer under, and in compliance with, applicable law.
Appears in 2 contracts
Samples: Merger Agreement (Partners Bancorp), Merger Agreement (LINKBANCORP, Inc.)
