Securities and Exchange. Commission relating to the maintenance of segregated accounts by registered investment companies and (iv) for other proper corporate purposes, but only, in the case of clause (iv), upon receipt of, in addition to Proper Instructions, a certified copy of a resolution of the Board of Directors or of the Executive Committee signed by an officer of the Fund and certified by the Secretary or an Assistant Secretary, setting forth the purpose or purposes of such segregated account and declaring such purposes to be proper corporate purposes.
Securities and Exchange. Commission Rules ---------------------------------------------------- It is the intent of the Parties that the determination of the costs as used in this Agreement shall be consistent with, and in compliance with the rules and regulations of the SEC, as they now read or hereafter may be modified by the Commission.
Securities and Exchange. Commission Rule 14b-2 requires banks which hold securities for the account of customers to respond to requests by issuers of securities for the names, addresses and holdings of beneficial owners of securities of that issuer held by the bank unless the beneficial owner has expressly objected to disclosure of this information. In order to comply with the rule, the Custodian needs the Fund to indicate whether the Fund authorizes the Custodian to provide the Fund's name, address, and share position to requesting companies whose stock the Fund owns. If the Fund tells the Custodian "no", the Custodian will not provide this information to requesting companies. If the Fund tells the Custodian "yes" or do not check either "yes" or "no" below, the Custodian is required by the rule to treat the Fund as consenting to disclosure of this information for all securities owned by the Fund or any funds or accounts established by the Fund. For the Fund's protection, the Rule prohibits the requesting company from using the Fund's name and address for any purpose other than corporate communications. Please indicate below whether the Fund consent or object by checking one of the alternatives below. YES [_] The Custodian is authorized to release the Fund's name, address, and share positions. NO [_] The Custodian is not authorized to release the Fund's name, address, and share positions.
Securities and Exchange. Commission Rule 14b-2 requires banks which hold securities for the account of customers to respond to requests by issuers of securities for the names, addresses and holdings of beneficial owners of securities of that issuer held by the bank unless the beneficial owner has expressly objected to disclosure of this information. In order to comply with the rule, the Custodian needs for the Trust to indicate whether the Trust, on behalf of the Portfolios, authorizes the Custodian to provide the Trust's name, address, and share position to requesting companies whose stock the Trust owns. If the Trust tells the Custodian "no", the Custodian will not provide this information to requesting companies. If the Trust tells the Custodian "yes" or does not check either "yes" or "no" below, the Custodian is required by the rule to treat the Trust as consenting to disclosure of this information for all securities owned by any Portfolios of the Trust. For the Trust's protection, the Rule prohibits the requesting company from using the Trust's name and address for any purpose other than corporate communications. Please indicate below whether the Trust consents or objects by checking one of the alternatives below. YES [ ] The Custodian is authorized to release the Trust's name, address, and share positions. NO [ ] The Custodian is not authorized to release the Trust's name, address, and share positions.
Securities and Exchange. Commission nor any securities commission of any state of the United States has reviewed, approved or disapproved this Announcement or the Acquisition, nor have such authorities passed upon or determined the fairness of the Acquisition or the adequacy or accuracy of the information contained in this Announcement. Any representation to the contrary is a criminal offence in the United States.
Securities and Exchange. Commission that may at any time permit the Subscriber to sell Purchased Shares to the public without registration or pursuant to a registration on Form S-3, the Corporation covenants and agrees to: (i) make and keep public information available, as those terms are understood and defined in Rule 144 under the Securities Act, until the earlier of (A) the second anniversary of the Closing Date or (B) such date as all of the Purchased Shares shall have been resold by the Subscriber thereof; (ii) file with the SEC in a timely manner all reports and other documents required of the Corporation under the Securities Act and the Exchange Act; and (iii) furnish to the Subscriber upon request, as long as the Subscriber owns any Purchased Shares, (A) a written statement by the Corporation that it has complied with the reporting requirements of the Securities Act and the Exchange Act, (B) a copy of the most recent annual or quarterly report of the Corporation, and (C) such other information as may be reasonably requested in order to avail the Subscriber of any rule or regulation of the SEC that permits the selling of any such Purchased Shares without registration or pursuant to such Form S-3.
Securities and Exchange. Commission Filings; Financial Statements.
(i) The Company has filed all forms, reports and documents required to be filed with the Securities and Exchange Commission ("SEC") since January 1, 1996 and has heretofore delivered to ValorInvest true and complete copies of the Company's (i) Form 10-KSB for the fiscal year ended December 28, 1997, and (ii) Quarterly Report on Form 10-QSB for each of the quarters ended March 29, 1998 and June 28, 1998 (collectively, "the SEC Reports"). The SEC Reports (x) were prepared in accordance with the requirements of the Exchange Act, and (y) did not contain any untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein, in light of the circumstances under which they were made, not misleading.
(ii) The financial statements contained in the SEC Reports have been prepared in accordance with generally accepted accounting principles applied on a consistent basis throughout the periods involved (except as may be indicated in the notes thereto) and fairly present the financial position of the Company as at the respective dates thereof and the results of operations of the Company for the periods indicated, except that the unaudited interim financial statements were or are subject to normal and recurring year-end adjustments which were not or are not expected to be material in amount. Since the date of the Form 10-QSB for the quarter ended June 28, 1998, there has not been any material adverse change in the financial condition of the Company.
Securities and Exchange. Commission Reports and Other ---------------------------------------------------- Information. So long as Careside has equity securities registered under the ----------- Exchange Act, Careside shall use best efforts to file with the Securities and Exchange Commission and thereupon provide the Holders with such annual reports and such information, documents and other reports as are specified in Sections 13 and 15(d) of the Exchange Act and applicable to a United States corporation subject to such Sections, such information, documents and other reports to be so filed and provided at the times specified for the filing of such information, documents and reports under such Sections.
Securities and Exchange. Commission Rules shall be deleted in its entirety and replaced with the following:
Securities and Exchange. Commission of similar scope or as a replacement for Rule 80B may be considered material.
