SEC Disciplinary Orders Sample Clauses

SEC Disciplinary Orders. You are not subject to an order of the SEC entered pursuant to section 15(b) or 15B(c) of the Securities Exchange Act of 1934 (the “Exchange Act”) or section 203(e) or 203(f) of the Investment Advisers Act of 1940 (the “Advisers Act”) that, at the time of the sale of the securities: • suspends or revokes your registration as a broker, dealer, municipal securities dealer or investment adviser; • places limitations on the activities, functions or operations of, or imposes civil money penalties on, such person; or • bars you from being associated with any entity or from participating in the offering of any xxxxx stock.
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SEC Disciplinary Orders. Are you subject to any order of the SEC that currently: · suspends or revokes your registration as a broker, dealer, municipal securities dealer or investment adviser; · places limitations on the activities, functions or operations of, or imposes civil money penalties on, such person; or · bars you from being associated with any entity or from participating in the offering of any xxxxx stock?1 ☐ Yes. If yes, please explain: ____________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________
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SEC Disciplinary Orders. Are you or the Company currently the subject of any SEC disciplinary orders relating to brokers, dealers, municipal securities dealers, investment companies, and investment advisers and their associated persons under Section 15(b) or 15B(c) of the Securities Exchange Act of 1934, or Section 203(e) or (f) of the Investment Advisers Act that
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SEC Disciplinary Orders. Are you subject to any order of the SEC that currently: · suspends or revokes your registration as a broker, dealer, municipal securities dealer or investment adviser; · places limitations on the activities, functions or operations of, or imposes civil money penalties on, such person; or · bars you from being associated with any entity or from participating in the offering of any xxxxx stock?1 □ Yes. If yes, please explain: □ No.
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SEC Disciplinary Orders. Is the undersigned subject to an SEC order entered pursuant to Section 15(b) or 15B(c) of the Securities Exchange Act of 1934 or Section 203(e) or (f) of the Investment Advisers Act of 1940 that: · suspends or revokes the undersigned’s registration as a broker, dealer, municipal securities dealer or investment adviser; · places limitations on the activities, functions or operations of the undersigned; or · bars the undersigned from being associated with any entity or from participating in the offering of any xxxxx stock? Yes No
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SEC Disciplinary Orders. You are not subject to an order of the SEC entered pursuant to section 15(b) or 15B(c) of the Securities Exchange Act of 1934, as amended (the “Exchange Act”) or section 203(e) or 203(f) of the Investment Advisers Act of 1940, as amended (the “Advisers Act”) that, at the time of the sale of the securities: • suspends or revokes your registration as a broker, dealer, municipal securities dealer or investment adviser; • places limitations on the activities, functions or operations of, or imposes civil money penalties on, such person; or • bars you from being associated with any entity or from participating in the offering of any xxxxx stock.
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SEC Disciplinary Orders. Are you subject to any order of the Securities and Exchange Commission (“SEC”) that currently: ☐ suspends or revokes your registration as a broker, dealer, municipal securities dealer or investment adviser; ☐ places limitations on the activities, functions or operations of, or imposes civil money penalties on, such person; or ☐ bars you from being associated with any entity or from participating in the offering of any xxxxx stock?1 ☐Yes. If yes, please explain: _____________________________________________________________________________________________ _____________________________________________________________________________________________ _____________________________________________________________________________________________ ☐No. _______________________________ 1 A disqualification based on a suspension or limitation of activities expires when the suspension or limitation expires.
Sample 1
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SEC Disciplinary Orders. You are not currently subject to an order of the SEC relating to brokers, dealers, municipal securities dealers, investment companies, and investment advisers and their associated persons under Section 15(b) or 15B(c) of the Securities Exchange Act of 1934 (the “Exchange Act”) or Section 203(e) or 203(f) of the Investment Advisers Act of 1940 (the “Investment Advisers Act”) that (a) suspends or revokes your registration as a broker, dealer, municipal securities dealer or investment adviser, (b) places limitations on the activities, functions or operations or (c) bars you from being associated with any entity or from participating in the offering of any xxxxx stock.
Sample 1

Related to SEC Disciplinary Orders

  • Proceedings; Orders (a) Except as set forth in Part 3.25 of the Disclosure Schedule, there is no pending Proceeding, and no Person has threatened to commence any Proceeding:

  • Legal Proceedings; Orders (a) Except as set forth in Part 3.15 of the Disclosure Letter, there is no pending Proceeding:

  • Notice of Change in Board of Directors With reasonable promptness, written notice of any change in the board of directors (or similar governing body) of Holdings or Company;

  • Plenary authority of the Board of Trustees The Sub-Adviser and Adviser both acknowledge that the Fund is a mutual fund that operates as a series of the Trust under the authority of the Board of Trustees.

  • Size of the Board Each Stockholder agrees to vote, or cause to be voted, all Shares (as defined below) owned by such Stockholder, or over which such Stockholder has voting control, from time to time and at all times, in whatever manner as shall be necessary to ensure that the size of the Board shall be set and remain at five (5) directors. For purposes of this Agreement, the term “Shares” shall mean and include any securities of the Company the holders of which are entitled to vote for members of the Board, including without limitation, all shares of Common Stock and Preferred Stock, by whatever name called, now owned or subsequently acquired by a Stockholder, however acquired, whether through stock splits, stock dividends, reclassifications, recapitalizations, similar events or otherwise.

  • Legal Proceedings; Governmental Orders (a) There are no Actions pending or, to Seller’s Knowledge, threatened (a) against or by the Company affecting any of its properties or assets (or by or against Seller or any Affiliate thereof and relating to the Company); or (b) against or by the Company, Seller or any Affiliate of Seller that challenges or seeks to prevent, enjoin or otherwise delay the transactions contemplated by this Agreement. No event has occurred or circumstances exist that may give rise to, or serve as a basis for, any such Action.

  • Successive Actions A separate right of action hereunder shall arise each time Lender acquires knowledge of any matter indemnified or guaranteed by Indemnitor under this Agreement. Separate and successive actions may be brought hereunder to enforce any of the provisions hereof at any time and from time to time. No action hereunder shall preclude any subsequent action, and Indemnitor hereby waives and covenants not to assert any defense in the nature of splitting of causes of action or merger of judgments.

  • Regulatory Meetings The Regulatory Lead Party shall provide the other Party with notice of all meetings, conferences, and discussions (including FDA advisory committee meetings and any other meeting of experts convened by the FDA concerning any topic relevant to a Product, as well as Product labeling and post-Regulatory Approval Product labeling discussions with the FDA) scheduled with the FDA concerning any pending Drug Approval Application or any material regulatory matters relating to a Product within [****]* after the Regulatory Lead Party receives notice of the scheduling of such meeting, conference, or discussion (or within such shorter period as may be necessary in order to give the other Party a reasonable opportunity to participate in such meetings, conferences and discussions). The other Party shall be entitled to be present at, and to participate in, all such meetings, conferences or discussions. PDL’s and BMS’ respective members of the JDC shall use reasonable efforts to agree in advance on the scheduling of such meetings and on the objectives to be accomplished at such meetings, conferences, and discussions and the agenda for the meetings, conferences, and discussions with the FDA. The Regulatory Lead Party shall also include the other Party in any unscheduled, ad-hoc meetings, conferences and discussions with the FDA concerning any pending IND, Drug Approval Application or any material regulatory matters relating to a Product. * Certain information on this page has been omitted and filed separately with the SEC. Confidential treatment has been requested with respect to the omitted portions.

  • Release of Employment Claims Executive agrees, as a condition to receipt of the termination payments and benefits provided for in this Section 4, that he/she will execute a release agreement, a form of which is attached hereto as Exhibit A, releasing any and all claims arising out of Executive’s employment.

  • Compliance Committee (1) Within thirty (30) days of the date of this Agreement, the Board shall appoint a Compliance Committee of at least three (3) directors, of which no more than one (1) shall be an employee or controlling shareholder of the Bank or any of its affiliates (as the term “affiliate” is defined in 12 U.S.C. § 371c(b)(1)), or a family member of any such person. Upon appointment, the names of the members of the Compliance Committee and, in the event of a change of the membership, the name of any new member shall be submitted in writing to the Assistant Deputy Comptroller. The Compliance Committee shall be responsible for monitoring and coordinating the Bank's adherence to the provisions of this Agreement.

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