No Pending Proceedings. There is not now pending or threatened against the Representative any action or proceeding of which it has been advised, either in any court of competent jurisdiction, before the Commission or any state securities regulatory authority concerning activities as a broker or dealer which are foreseen as affecting the Representative's capacity to complete the terms of this Agreement.
Appears in 6 contracts
Samples: Registration Statement (Firstlink Communications Inc), Underwriting Agreement (Integcom Corp), Underwriting Agreement (Creative Host Services Inc)
No Pending Proceedings. There is not now pending or threatened against the Representative any action or proceeding of which it has been advised, either in any court of competent jurisdiction, before the Commission or any state securities regulatory authority commission, concerning its activities as a broker or dealer which are foreseen as affecting that, in the opinion of the Representative's capacity , would prevent it from acting as such under federal securities laws or under the laws of the states in which it intends to complete offer the terms of this AgreementSecurities.
Appears in 5 contracts
Samples: Underwriting Agreement (Ocurest Laboratories Inc), Underwriting Agreement (Global Med Technologies Inc), Underwriting Agreement (Ocurest Laboratories Inc)
No Pending Proceedings. There is not now pending or threatened against the Representative any action or proceeding of which it has been advised, either in any court of competent jurisdiction, jurisdiction or before the Commission Commission, or before any state securities regulatory authority commission or the NASD, concerning its activities as a broker or dealer which are foreseen as affecting the Representative's capacity dealer, that could have a material adverse effect upon its ability to complete the terms of perform its obligations under this Agreement.
Appears in 2 contracts
Samples: Underwriting Agreement (Curtis International LTD), Underwriting Agreement (Curtis International LTD)
No Pending Proceedings. There is not now pending or threatened against the Representative any action or proceeding of which it has been advised, either in any court of competent jurisdiction, jurisdiction or before the Commission Commission, or before any state securities regulatory authority commission or the NASD, concerning its activities as a broker or dealer which are foreseen as affecting the Representative's capacity dealer, that could have a material adverse effect upon its ability to complete the terms of perform under its obligations this Agreement.
Appears in 1 contract
