SEC Reporting and Compliance Sample Clauses
SEC Reporting and Compliance. (a) Parent filed a registration statement on Form SB-2 under the Securities Act which became effective on February 1, 2002 and was not withdrawn, and a registration statement on Form 10-SB under the Exchange Act, which became effective on October 15, 2001. Since October 15, 2001 and except as set forth on Schedule 3.8, Parent has timely filed with the Commission all registration statements, proxy statements, information statements and reports required to be filed pursuant to the Exchange Act. Parent has not filed with the Commission a certificate on Form 15 pursuant to Rule 12h-3 of the Exchange Act.
(b) Parent has delivered to the Company true and complete copies of the registration statements, information statements and other reports (collectively, the "Parent SEC Documents") filed by the Parent with the Commission. None of the Parent SEC Documents, as of their respective dates, contained any untrue statement of a material fact or omitted to state a material fact necessary in order to make the statements contained therein not misleading.
(c) Except as set forth on Schedule 3.8, Parent has not filed, and nothing has occurred with respect to which Parent would be required to file, any report on Form 8-K since January 1, 2003. Prior to and until the Closing, Parent will provide to the Company copies of any and all amendments or supplements to the Parent SEC Documents filed with the Commission since January 1, 2003 and all subsequent registration statements and reports filed by Parent subsequent to the filing of the Parent SEC Documents with the Commission and any and all subsequent information statements, proxy statements, reports or notices filed by the Parent with the Commission or delivered to the stockholders of Parent.
(d) Parent is not an investment company within the meaning of Section 3 of the Investment Company Act.
(e) The shares of Parent Common Stock are quoted on the Over-the-Counter (OTC) Bulletin Board under the symbol "LGIV.OB," and Parent is in compliance in all material respects with all rules and regulations of the OTC Bulletin Board applicable to it and the Parent Stock.
(f) The Parent has complied in all material respects with the Securities Act, Exchange Act and all other applicable federal and state securities laws.
SEC Reporting and Compliance. (c) Parent filed a registration statement on Form SB-2 under the Securities Act which became effective on December 4, 2002. Since that date, Parent has filed with the Commission all registration statements, proxy statements, information statements and reports required to be filed pursuant to the Exchange Act. Parent has not filed with the Commission a certificate on Form 15 pursuant to Rule 12h-3 of the Exchange Act.
SEC Reporting and Compliance. The Issuer will take all actions necessary to ensure that the Shares will continue to be registered under Section 12(b) or Section 12(g) of the Exchange Act. It will timely file all reports required pursuant to the Securities Exchange Act, including without limitation those required pursuant to Section 13 or 15(d) thereof and the rules and regulations thereunder. It will comply with all provisions of the Securities Act and the Securities Exchange Act and the rules and regulations thereunder relating to corporate governance, FCPA, record keeping and controls and procedures and other similar provisions, including without limitation those required pursuant to Securities Exchange Act Sections 10A, 13, 15(d), 30A, Form 20-F and the respective rules and regulations thereunder.
SEC Reporting and Compliance. None of the Company’s registration statements, proxy statements, information statements and reports filed with the Securities and Exchange Commission (“SEC”) since January 1, 2016, as of their respective dates, contained any untrue statement of a material fact or omitted to state a material fact necessary in order to make the statements contained therein not misleading.
SEC Reporting and Compliance. (a) Parent filed a registration statement on Form SB-2 under the Exchange Act which became effective on March 19, 2007, Parent has filed with the Commission all reports required to be filed by companies registered pursuant to Section 12(g) of the Exchange Act.
(b) Parent has delivered to the Company true and complete copies of all annual reports on Form 10-KSB, quarterly reports on Form 10-QSB and Form 10-Q, current reports on Form 8-K and other statements reports and filings (collectively, the “Parent SEC Documents”) filed by the Parent with the Commission.
(c) Parent has not filed, and nothing has occurred with respect to which Parent would be required to file, any report on Form 8-K since November 7, 2008. Prior to and until the Closing, Parent will provide to the Company copies of any and all amendments or supplements to the Parent SEC Documents filed with the Commission since November 7, 2008 and any and all subsequent statements, reports and filings filed by the Parent with the Commission or delivered to the stockholders of Parent.
(d) The shares of Parent Common Stock are quoted on the Over-the-Counter (OTC) Bulletin Board under the symbol “AAFS.OB,” and Parent is in compliance in all material respects with all rules and regulations of the OTC Bulletin Board applicable to it and the Parent Stock.
(e) Between the date hereof and the Closing Date, Parent shall continue to satisfy the filing requirements of the Exchange Act and all other requirements of applicable securities laws and the OTC Bulletin Board.
SEC Reporting and Compliance. To the best of its knowledge, CMT has filed with the Securities and Exchange Commission all registration statements, proxy statements, information statements and periodic reports required to be filed pursuant to the Securities Exchange Act of 1934 (collectively, the "SEC documents") since August 25, 2004. The Parties acknowledge that CMT has a pending registration statement on Form SB-2 and all Parties have had the opportunity to review all comments, amendments and other documentation relating thereto.
SEC Reporting and Compliance. (a) SHS is not currently subject to SEC reporting requirements.
(b) To the best knowledge of SHS, SHS has otherwise complied with the Securities Act, Exchange Act and all other applicable federal and state securities laws.
SEC Reporting and Compliance. (a) The Company filed a registration statement on Form SB-2 under the Securities Act, which became effective on or about June 29, 2006. Except as disclosed on Schedule 3.6, the Company has timely filed with the U.S. Securities and Exchange Commission (the “Commission”) all registration statements, proxy statements, information statements and reports required to be filed pursuant to the Securities Exchange Act of1934, as amended (the “Exchange Act”). The Company has not filed with the Commission a certificate on Form 15 pursuant to Rule 12h-3 of the Exchange Act. The Company has informed NDR that true and complete copies of the registration statements, information statements and other reports (collectively, the “Company SEC Documents”) filed by the Company with the Commission are available to them, and they are therefore advised to referred to the latest reports filed with the “Commission. None of the Company SEC Documents, as of their respective dates, contained any untrue statement of a material fact or omitted to state a material fact necessary in order to make the statements contained therein not misleading. The Company is not an investment company within the meaning of Section 3 of the Investment Company Act of 1940, as amended. The shares of Company Common Stock are quoted on the Over-the-Counter (OTC) Pink Sheets under the symbol “UBXX.XX”. Between the date hereof and the Closing Date, the Company shall continue to bring up to date and satisfy the filing requirements of the Exchange Act and all other requirements of applicable securities laws. The Company SEC Documents include all certifications and statements required of it, if any, by (i) Rule 13a-14 or 15d-14 under the Exchange Act, and (ii) 18 U.S.C. Section 1350 (Section 906 of the Saxxxxxx-Xxxxx Xct of 2002), and each of such certifications and statements contain no qualifications or exceptions to the matters certified therein other than a knowledge qualification, permitted under such provision, and have not been modified or withdrawn and neither the Company nor any of its officers has received any notice from the Commission questioning or challenging the accuracy, completeness, form or manner of filing or submission of such certifications or statements. The Company has otherwise complied with the Securities Act, Exchange Act and all other applicable federal and state securities laws.
SEC Reporting and Compliance. (a) NAI has timely filed with the SEC all reports required to be filed by NAI during the twelve calendar months preceding the Effective Date and has otherwise filed with the SEC all registration statements, prospectuses, reports, forms, statements, schedules, certifications and other documents required to be filed by companies registered pursuant to Section 12(g) of the Exchange Act (all such required registration statements, prospectuses, reports, forms, statements, schedules, certifications and other documents are referred to herein as the “NAI SEC Documents”). At the time they were filed with the SEC (or at the effective date thereof in the case of registration statements) or if amended or superseded by a filing prior to the Effective Date, then on the date of such filing, NAI SEC Documents (i) complied in all material respects with the requirements of the Securities Act, the Exchange Act, the Xxxxxxxx-Xxxxx Act (to the extent then applicable), and the rules and regulations of the SEC promulgated thereunder applicable to such NAI SEC Documents, and (ii) did not contain any untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary in order to make the statements therein, in light of the circumstances under which they were made, not misleading.
(b) NAI has not filed, and nothing has occurred with respect to which NAI would be required to file, any report on Form 8-K since October 25, 2005, with the exception of the Contemplated Transactions and the funding of certain additional term debt NAI intends to obtain to fund the Cash Purchase Price, each of which shall require the filing by NAI of a report on Form 8-K within four (4) business days after the Closing.
(c) NAI has otherwise complied in all material respects with the Securities Act, Exchange Act and all other applicable United States federal and state securities laws.
SEC Reporting and Compliance. (a) YWH has filed with the Commission all reports required to be filed by companies registered pursuant to Section 12(g) of the Exchange Act.
(b) YWH has delivered to the Company true and complete copies of all annual reports on Form 10-K, quarterly reports on Form 10-Q and other statements reports and filings (collectively, the “YWH SEC Documents”) filed by YWH with the Commission.
(c) Prior to and until the Closing, YWH will provide to each of the EXCHANGING COMPANIES copies of any and all amendments or supplements to the YWH SEC Documents filed with the Commission subsequent to the date hereof and any and all subsequent statements, reports and filings filed by the YWH with the Commission or delivered to the stockholders of YWH.
(d) The shares of YWH Common Stock are quoted on the Over-the-Counter (OTC) Bulletin Board under the symbol “YWYH,” and YWH is in compliance in all material respects with all rules and regulations of the OTC Bulletin Board applicable to it.
(e) Between the date hereof and the Effective Time, YWH shall continue to satisfy the filing requirements of the Exchange Act and all other requirements of the OTC Bulletin Board.