Registered Broker-Dealer. MP Securities is a broker-dealer registered with the Securities and Exchange Commission under the 1934 Act , is a member in good standing of FINRA, and is registered and/or qualified to act in each jurisdiction in which it is required to be registered and/or qualified to conduct its business and to perform its obligations under this Agreement;
Registered Broker-Dealer. You represent that you are a broker-dealer registered under the 1934 Act.
Registered Broker-Dealer. The Agent is duly registered and qualified as a broker dealer in such jurisdictions and with such regulatory bodies as is necessary in order to legally carry out the transactions contemplated by this Agreement.
Registered Broker-Dealer. You represent that you are a broker or dealer registered under the Exchange Act. You agree to notify us immediately if you cease to be registered or licensed as a broker or dealer.
Registered Broker-Dealer. The Underwriter is registered as a broker-dealer with the Securities and Exchange Commission and is registered as a broker-dealer in the State of New York and is a member in good standing of the National Association of Securities Dealers, Inc.
Registered Broker-Dealer. The Purchaser is a registered broker dealer under the Exchange Act.
Registered Broker-Dealer. As of the Closing Date, Second Street is a registered broker-dealer under the Securities Exchange Act of 1934, as amended.
Registered Broker-Dealer. In accepting the Engagement, Xxxxx Xxxx represents and warrants that it is a broker dealer registered pursuant to section 15 of the Securities Exchange Act of 1934, as amended, and hereby covenants to comply with all applicable securities laws in performing the services hereunder.
Registered Broker-Dealer. The Purchaser is not a broker or dealer registered pursuant to Section 15 of the Exchange Act and is not an Affiliate of such a broker or dealer. The Purchaser is not party to any agreement for the distribution of any of the Shares.
Registered Broker-Dealer. (a) GAAI is the only Acquired Company or Subsidiary of an Acquired Company that is registered, or required to be registered, as a broker-dealer under the Exchange Act. GAAI is, and at all times so required since January 1, 2018, has been, (i) registered with the SEC as a broker-dealer under the Exchange Act and (ii) registered, licensed or qualified as a broker-dealer under the applicable Law of any state or other jurisdiction (other than the Exchange Act) which it is required to be registered, licensed or qualified. GAAI is, and at all times so required since January 1, 2018, has been, a member in good standing of FINRA and any other exchange or self-regulatory authority which would require membership or registration in connection with its activities and is in compliance in all material respects with all rules and regulations of each such self-regulatory organization.
