Common use of REQUIREMENTS OF SELF-REGULATORY ORGANIZATION; ACTIONS TO BE TAKEN IN FULFILLMENT OF STATUTORY OBLIGATIONS Clause in Contracts

REQUIREMENTS OF SELF-REGULATORY ORGANIZATION; ACTIONS TO BE TAKEN IN FULFILLMENT OF STATUTORY OBLIGATIONS. (a) Subscriber acknowledges that in the United States: (i) several of the NASDAQ Markets are registered with the SEC as national securities exchanges pursuant to Section 6 of the Act, and FINRA is registered with the SEC as a national securities association pursuant to 15A of the Act; (ii) FINRA and NASDAQ have a statutory obligation to protect investors and the public interest, and to ensure that quotation information supplied to investors and the public is fair and informative, and not discriminatory, fictitious or misleading; (iii) Section 19(g)(1) of the Act mandates that FINRA and NASDAQ comply with the NASDAQ Requirements; (iv) NASDAQ has jurisdiction to enforce compliance with certain of the NASDAQ Requirements; (v) FINRA has jurisdiction to enforce compliance with certain of the NASDAQ Requirements; and (vi) NASDAQ is obligated to offer terms that are not unreasonably discriminatory between Subscribers, subject to applicable NASDAQ Requirements. Accordingly, Subscriber agrees that NASDAQ, when required to do so in fulfillment of its statutory obligations, may, temporarily or permanently, unilaterally condition, modify or terminate the right of any or all individuals or entities to receive or use the Information. NASDAQ shall undertake reasonable efforts to notify Subscriber of any such condition, modification or termination, and Subscriber shall promptly comply with any such notice within such period of time as may be determined in good faith by NASDAQ to be necessary, consistent with its statutory obligations. Any Person that receives such a notice shall have available to it such procedural protections as are provided to it by the Act and the applicable rules thereunder.

REQUIREMENTS OF SELF-REGULATORY ORGANIZATION; ACTIONS TO BE TAKEN IN FULFILLMENT OF STATUTORY OBLIGATIONS. (a) Subscriber acknowledges that in the United States: (i) several of the NASDAQ Markets are Nasdaq is registered with the SEC as national securities exchanges pursuant to Section 6 of the Act, and FINRA is registered with the SEC as a national securities association pursuant to 15A of the Act; (ii) FINRA and NASDAQ Nasdaq have a statutory obligation to protect investors and the public interest, and to ensure that quotation information supplied to investors and the public is fair and informative, and not discriminatory, fictitious or misleading; (iii) Section 19(g)(1) of the Act mandates that FINRA and NASDAQ Nasdaq comply with the NASDAQ UTP Plan Requirements; (iv) NASDAQ Nasdaq has jurisdiction to enforce compliance with certain of the NASDAQ UTP Plan Requirements; (v) FINRA has jurisdiction to enforce compliance with certain of the NASDAQ UTP Plan Requirements; and (vi) NASDAQ Nasdaq is obligated to offer terms that are not unreasonably discriminatory between Subscribers, subject to applicable NASDAQ UTP Plan Requirements. Accordingly, Subscriber agrees that NASDAQNasdaq, when required to do so in fulfillment of its statutory obligations, may, temporarily or permanently, unilaterally condition, modify or terminate the right of any or all individuals or entities to receive or use the Information. NASDAQ Nasdaq shall undertake reasonable efforts to notify Subscriber of any such condition, modification or termination, and Subscriber shall promptly comply with any such notice within such period of time as may be determined in good faith by NASDAQ Nasdaq to be necessary, consistent with its statutory obligations. Any Person that receives such a notice shall have available to it such procedural protections as are provided to it by the Act and the applicable rules thereunder.

REQUIREMENTS OF SELF-REGULATORY ORGANIZATION; ACTIONS TO BE TAKEN IN FULFILLMENT OF STATUTORY OBLIGATIONS. (a) Subscriber acknowledges that in the United States: (i) several of the NASDAQ Markets are registered with the SEC as national securities exchanges pursuant to Section 6 of the Act, and FINRA is registered with the SEC as a national securities association pursuant to 15A of the Act; (ii) FINRA and NASDAQ have a statutory obligation to protect investors and the public interest, and to ensure that quotation information supplied to investors and the public is fair and informative, and not discriminatory, fictitious or misleading; (iiimisleading;(iii) Section 19(g)(1) of the Act mandates that FINRA and NASDAQ comply with the NASDAQ Requirements; (iv) NASDAQ has jurisdiction to enforce compliance with certain of the NASDAQ Requirements; (v) FINRA has jurisdiction to enforce compliance with certain of the NASDAQ Requirements; and (vi) NASDAQ is obligated to offer terms that are not unreasonably discriminatory between Subscribers, subject to applicable NASDAQ Requirements. Accordingly, Subscriber agrees that NASDAQ, when required to do so in fulfillment of its statutory obligations, may, temporarily or permanently, unilaterally condition, modify or terminate the right of any or all individuals or entities to receive or use the Information. NASDAQ shall undertake reasonable efforts to notify Subscriber of any such condition, modification or termination, and Subscriber shall promptly comply with any such notice within such period of time as may be determined in good faith by NASDAQ to be necessary, consistent with its statutory obligations. Any Person that receives such a notice shall have available to it such procedural protections as are provided to it by the Act and the applicable rules thereunder. 2. ТРЕБОВАНИЯ САМОУПРАВЛЯЕМОЙ ОРГАНИЗАЦИИ; ДЕЙСТВИЯ, КОТОРЫЕ НЕОБХОДИМО ПРЕДПРИНЯТЬ ПРИ ВЫПОЛНЕНИИ ЮРИДИЧЕСКИХ ОБЯЗАТЕЛЬСТВ. а) Xxxxxxx признает, что в Соединенных Штатах Америки: (i) несколько Рынков НАСДАК зарегистрированы в SEC в качестве всеамериканской фондовой биржи в соответствии с разделом 6 Закона, а Агентство по регулированию деятельности финансовых институтов зарегистрировано в SEC в качестве национальной ассоциации ценных бумаг в соответствии с разделом 15A Закона; (ii) Агентство по регулированию деятельности финансовых институтов и НАСДАК имеют юридическое обязательство защищать инвесторов и общественные интересы и обеспечивать, чтобы информация о котировках, предоставляемая инвесторам и общественности, была достоверной и полной, а не ущемляющей, фиктивной или вводящей в заблуждение;(iii) раздел 19(g)(1) Закона предусматривает, что Агентство по регулированию деятельности финансовых институтов и НАСДАК соблюдают Требования НАСДАК; (IV) НАСДАК обладает юрисдикцией для обеспечения соблюдения некоторых Требований НАСДАК ; (V) Агентство по регулированию деятельности финансовых институтов обладает юрисдикцией для обеспечения соблюдения некоторых Требований НАСДАК; и (VI) НАСДАК обязуется предлагать условия, которые не являются необоснованно дискриминационными между Абонентами, с учетом применимых Требований НАСДАК. Соответственно, Xxxxxxx соглашается с тем, что НАСДАК, когда это требуется для выполнения своих юридических обязательств, может временно или постоянно в одностороннем порядке регулировать, изменять или прекращать право любого или всех физических или юридических лиц на получение или использование Информации. НАСДАК должен предпринимать разумные усилия, чтобы уведомить Xxxxxxxx о любом таком регулировании, изменении или прекращении, а Xxxxxxx должен незамедлительно выполнить любое такое уведомление в течение такого периода времени, который может быть добросовестно определен НАСДАК как необходимый, в соответствии с его юридическими обязательствами. Xxxxx Xxxx, получившее такое уведомление, должно иметь в своем распоряжении такие процессуальные средства защиты, которые предусмотрены законом и применимыми к нему правилами.

REQUIREMENTS OF SELF-REGULATORY ORGANIZATION; ACTIONS TO BE TAKEN IN FULFILLMENT OF STATUTORY OBLIGATIONS. Extranet acknowledges that (a) Subscriber acknowledges that in the United States: (i) several of the NASDAQ Markets are registered with the SEC as national securities exchanges pursuant to Section 6 of the Act, and FINRA Exchange is registered with the SEC Securities and Exchange Commission (the “SEC”) as a registered national securities association pursuant to 15A of the Actexchange; (iib) FINRA and NASDAQ have the Exchange has a statutory obligation to protect investors and the public interest, and to ensure that quotation information supplied to investors and the public is fair and informative, and not discriminatory, fictitious or misleading; (iiic) Section 19(g)(1) of the Securities Exchange Act of 1934, as amended (the “Act”) mandates that FINRA and NASDAQ the Exchange, as a self-regulatory organization, comply with the NASDAQ Exchange Requirements; (ivd) NASDAQ the Exchange has jurisdiction over its members to enforce compliance with certain of the NASDAQ Requirements; (v) FINRA has jurisdiction to enforce compliance with certain of the NASDAQ Exchange Requirements; and (vie) NASDAQ the Exchange is obligated to offer terms that are not unreasonably discriminatory between SubscribersExtranets, subject to applicable NASDAQ Exchange Requirements. Accordingly, Subscriber Extranet agrees that NASDAQthe Exchange, when required to do so in fulfillment of its statutory obligations, may, temporarily or permanently, unilaterally condition, modify or terminate the right of any or all individuals or entities to receive or use the Information. NASDAQ The Exchange shall undertake reasonable efforts to notify Subscriber Extranet of any such condition, modification or termination, and Subscriber Extranet shall promptly comply with any such notice within such period of time as may be determined in good faith by NASDAQ the Exchange to be necessary, consistent with its statutory obligations. Any Person person that receives such a notice shall have available to it such procedural protections as are provided to it by the Act and the applicable rules thereunder. If Extranet is a Member of the Exchange, then Extranet expressly acknowledges and agrees that (x) this Agreement does not limit or reduce in any way Extranet's obligations and responsibilities as a member of the Exchange; (y) this Agreement does not in any way alter the procedures or standards generally applicable to disciplinary or other actions taken by the Exchange to enforce compliance with, or impose sanctions for violations of, the Exchange Requirements; and (z) the nonpayment of amounts due under this Agreement could result in the suspension or cancellation of Extranet's Exchange membership in accordance with the Exchange Requirements.

REQUIREMENTS OF SELF-REGULATORY ORGANIZATION; ACTIONS TO BE TAKEN IN FULFILLMENT OF STATUTORY OBLIGATIONS. (a) Subscriber acknowledges that in the United States: (i) several of the NASDAQ Markets are Nasdaq is registered with the SEC as national securities exchanges pursuant to Section 6 of the Act, and FINRA is registered with the SEC as a national securities association pursuant to 15A of the Act; (ii) FINRA and NASDAQ Nasdaq have a statutory obligation to protect investors and the public interest, and to ensure that quotation information supplied to investors and the public is fair and informative, and not discriminatory, fictitious or misleading; (iii) Section 19(g)(1) of the Act mandates that FINRA and NASDAQ Nasdaq comply with the NASDAQ Nasdaq Requirements; (iv) NASDAQ Nasdaq has jurisdiction to enforce compliance with certain of the NASDAQ Nasdaq Requirements; (v) FINRA has jurisdiction to enforce compliance with certain of the NASDAQ Nasdaq Requirements; and (vi) NASDAQ Nasdaq is obligated to offer terms that are not unreasonably discriminatory between Subscribers, subject to applicable NASDAQ Nasdaq Requirements. Accordingly, Subscriber agrees that NASDAQNasdaq, when required to do so in fulfillment of its statutory obligations, may, temporarily or permanently, unilaterally condition, modify or terminate the right of any or all individuals or entities to receive or use the Information. NASDAQ Nasdaq shall undertake reasonable efforts to notify Subscriber of any such condition, modification or termination, and Subscriber shall promptly comply with any such notice within such period of time as may be determined in good faith by NASDAQ Nasdaq to be necessary, consistent with its statutory obligations. Any Person that receives such a notice shall have available to it such procedural protections as are provided to it by the Act and the applicable rules thereunder.. (bc) If Subscriber is a member of a Nasdaq market, then Subscriber expressly acknowledges and agrees that (i) this Agreement does not limit or reduce in any way Subscriber’s obligations and responsibilities as a member of any applicable Nasdaq market; (ii) this Agreement does not in any way alter the procedures or standards generally applicable to disciplinary or other actions taken by Nasdaq to enforce compliance with, or impose sanctions for violations of, the Nasdaq Requirements; and

REQUIREMENTS OF SELF-REGULATORY ORGANIZATION; ACTIONS TO BE TAKEN IN FULFILLMENT OF STATUTORY OBLIGATIONS. (a) Subscriber acknowledges that in the United States: (i) several of the NASDAQ OMX Markets are registered with the SEC as national securities exchanges pursuant to Section 6 of the Act, and FINRA is registered with the SEC as a national securities association pursuant to 15A of the Act; (ii) FINRA and NASDAQ OMX have a statutory obligation to protect investors and the public interest, and to ensure that quotation information supplied to investors and the public is fair and informative, and not discriminatory, fictitious or misleading; (iii) Section 19(g)(1) of the Act mandates that FINRA and NASDAQ OMX comply with the NASDAQ OMX Requirements; (iv) NASDAQ OMX has jurisdiction to enforce compliance with certain of the NASDAQ OMX Requirements; (v) FINRA has jurisdiction to enforce compliance with certain of the NASDAQ OMX Requirements; and (vi) NASDAQ OMX is obligated to offer terms that are not unreasonably discriminatory between Subscribers, subject to applicable NASDAQ OMX Requirements. Accordingly, Subscriber agrees that NASDAQNASDAQ OMX, when required to do so in fulfillment of its statutory obligations, may, temporarily or permanently, unilaterally condition, modify or terminate the right of any or all individuals or entities to receive or use the Information. NASDAQ OMX shall undertake reasonable efforts to notify Subscriber of any such condition, modification or termination, and Subscriber shall promptly comply with any such notice within such period of time as may be determined in good faith by NASDAQ OMX to be necessary, consistent with its statutory obligations. Any Person that receives such a notice shall have available to it such procedural protections as are provided to it by the Act and the applicable rules thereunder.

REQUIREMENTS OF SELF-REGULATORY ORGANIZATION; ACTIONS TO BE TAKEN IN FULFILLMENT OF STATUTORY OBLIGATIONS. (a) Subscriber acknowledges that in the United States: (i) several of the NASDAQ Markets are Nasdaq is registered with the SEC as national securities exchanges pursuant to Section 6 of the Act, and FINRA is registered with the SEC as a national securities association pursuant to 15A of the Act; (ii) FINRA and NASDAQ Nasdaq have a statutory obligation to protect investors and the public interest, and to ensure that quotation information supplied to investors and the public is fair and informative, and not discriminatory, fictitious or misleading; (iii) Section 19(g)(1) of the Act mandates that FINRA and NASDAQ Nasdaq comply with the NASDAQ UTP Plan Requirements; (iv) NASDAQ Nasdaq has jurisdiction to enforce compliance with certain of the NASDAQ UTP Plan Requirements; (v) FINRA has jurisdiction to enforce compliance with certain of the NASDAQ UTP Plan Requirements; and (vi) NASDAQ Nasdaq is obligated to offer terms that are not unreasonably discriminatory between Subscribers, subject to applicable NASDAQ UTP Plan Requirements. Accordingly, Subscriber agrees that NASDAQNasdaq, when required to do so in fulfillment of its statutory obligations, may, temporarily or permanently, unilaterally condition, modify or terminate the right of any or all individuals or entities to receive or use the Information. NASDAQ Nasdaq shall undertake reasonable efforts to notify Subscriber of any such condition, modification or termination, and Subscriber shall promptly comply with any such notice within such period of time as may be determined in good UTP Plan Subscriber Agreement 2019-1 5 faith by NASDAQ Nasdaq to be necessary, consistent with its statutory obligations. Any Person that receives such a notice shall have available to it such procedural protections as are provided to it by the Act and the applicable rules thereunder.

REQUIREMENTS OF SELF-REGULATORY ORGANIZATION; ACTIONS TO BE TAKEN IN FULFILLMENT OF STATUTORY OBLIGATIONS. (a) Subscriber acknowledges that in the United States: (i) several of the NASDAQ Markets are Nasdaq is registered with the SEC as national securities exchanges pursuant to Section 6 of the Act, and FINRA FlNRA is registered with the SEC as a national securities association pursuant to 15A of the Act; (ii) FINRA FlNRA and NASDAQ Nasdaq have a statutory obligation to protect investors and the public interest, and to ensure that quotation information supplied to investors and the public is fair and informative, and not discriminatory, fictitious or misleading; (iii) Section 19(g)(1) of the Act mandates that FINRA FlNRA and NASDAQ Nasdaq comply with the NASDAQ UTP Plan Requirements; (iv) NASDAQ Nasdaq has jurisdiction to enforce compliance with certain of the NASDAQ UTP Plan Requirements; (v) FINRA FlNRA has jurisdiction to enforce compliance with certain of the NASDAQ UTP Plan Requirements; and (vi) NASDAQ Nasdaq is obligated to offer terms that are not unreasonably discriminatory between Subscribers, subject to applicable NASDAQ UTP Plan Requirements. Accordingly, Subscriber agrees that NASDAQNasdaq, when required to do so in fulfillment of its statutory obligations, may, temporarily or permanently, unilaterally condition, modify or terminate the right of any or all individuals or entities to receive or use the Informationlnformation. NASDAQ Nasdaq shall undertake reasonable efforts to notify Subscriber of any such condition, modification or termination, and Subscriber shall promptly comply with any such notice within such period of time as may be determined in good faith by NASDAQ Nasdaq to be necessary, consistent with its statutory obligations. Any Person that receives such a notice shall have available to it such procedural protections as are provided to it by the Act and the applicable rules thereunder.

REQUIREMENTS OF SELF-REGULATORY ORGANIZATION; ACTIONS TO BE TAKEN IN FULFILLMENT OF STATUTORY OBLIGATIONS. (a) Subscriber Distributor acknowledges that in the United States: (i) several of the NASDAQ Nasdaq Markets are registered with the SEC as national securities exchanges pursuant to Section 6 of the Act, and FINRA is registered with the SEC as a national securities association pursuant to 15A of the Act; (ii) FINRA and NASDAQ Nasdaq have a statutory obligation to protect investors and the public interest, and to ensure that quotation information supplied to investors and the public is fair and informative, and not discriminatory, fictitious or misleading; (iii) Section 19(g)(1) of the Act mandates that FINRA and NASDAQ Nasdaq comply with the NASDAQ Nasdaq Requirements; (iv) NASDAQ Nasdaq has jurisdiction to enforce compliance with certain of the NASDAQ Nasdaq Requirements; (v) FINRA has jurisdiction to enforce compliance with certain of the NASDAQ Nasdaq Requirements; and (vi) NASDAQ Nasdaq is obligated to offer terms that are not unreasonably discriminatory between SubscribersDistributors, subject to applicable NASDAQ Nasdaq Requirements. Accordingly, Subscriber Distributor agrees that NASDAQNasdaq, when required to do so in fulfillment of its statutory obligations, may, temporarily or permanently, unilaterally condition, modify or terminate the right of any or all individuals or entities to receive or use the Information. NASDAQ Nasdaq shall undertake reasonable efforts to notify Subscriber Distributor of any such condition, modification or termination, and Subscriber Distributor shall promptly comply with any such notice within such period of time as may be determined in good faith by NASDAQ Nasdaq to be necessary, consistent with its statutory obligations. Any Person that receives such a notice shall have available to it such procedural protections as are provided to it by the Act and the applicable rules thereunder.

REQUIREMENTS OF SELF-REGULATORY ORGANIZATION; ACTIONS TO BE TAKEN IN FULFILLMENT OF STATUTORY OBLIGATIONS. (a) Subscriber acknowledges that in the United States: (i) several of the NASDAQ Markets are Nasdaq is registered with the SEC as national securities exchanges pursuant to Section 6 of the Act, and FINRA is registered with the SEC as a national securities association pursuant to 15A of the Act; (ii) FINRA and NASDAQ Nasdaq have a statutory obligation to protect investors and the public interest, and to ensure that quotation information supplied to investors and the public is fair and informative, and not discriminatory, fictitious or misleading; (iii) Section 19(g)(1) of the Act mandates that FINRA and NASDAQ Nasdaq comply with the NASDAQ UTP Plan Requirements; (iv) NASDAQ Nasdaq has jurisdiction to enforce compliance with certain of the NASDAQ UTP Plan Requirements; (v) FINRA has jurisdiction to enforce compliance with certain of the NASDAQ UTP Plan Requirements; and (vi) NASDAQ Nasdaq is obligated to offer terms that are not unreasonably discriminatory between Subscribers, subject to applicable NASDAQ UTP Plan Requirements. Accordingly, Subscriber agrees that NASDAQNasdaq, when required to do so in fulfillment of its statutory obligations, may, temporarily or permanently, unilaterally condition, modify or terminate the right of any or all individuals or entities to receive or use the Information. NASDAQ Nasdaq shall undertake reasonable efforts to notify Subscriber of any such condition, modification or termination, and Subscriber shall promptly comply with any such notice within such period of time as may be determined in good KARMEQ Terms of Use | Addendum 2 faith by NASDAQ Nasdaq to be necessary, consistent with its statutory obligations. Any Person that receives such a notice shall have available to it such procedural protections as are provided to it by the Act and the applicable rules thereunder.