Securities Information Processor Sample Clauses

Securities Information Processor. Vendor acknowledges that the NASDAQNasdaq Companies maintain a registration with the SEC as a registered securities information processor pursuant to Section 11A of the Exchange Act. NASDAQNasdaq acknowledges that a registered securities information processor is obligated to ensure that all qualified Vvendors are able to obtain the UTP Plan Services on terms that are not unreasonably discriminatory, subject to such orders, rules or regulations as the SEC may adopt.
Sample 1
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Securities Information Processor. Vendor acknowledges that Nasdaq is registered with the SEC as a registered securities information processor pursuant to Section 11A of the Exchange Act. Nasdaq acknowledges that, as a registered securities information processor, Nasdaq is obligated to assure that all qualified vendors are able to obtain the Level 1 Service and Last Sale Service on terms that are not unreasonably discriminatory, subject to such orders, rules or regulations as the SEC may adopt.
Sample 1

Related to Securities Information Processor

  • KYC Information (i) Upon the reasonable request of any Lender made at least five (5) Business Days prior to the Closing Date, the Borrower shall have provided to such Lender the documentation and other information so requested in connection with applicable “know your customer” and anti-money-laundering rules and regulations, including the PATRIOT Act, in each case at least three (3) days prior to the Closing Date.

  • Client Information (2) Protected Health Information in any form including without limitation, Electronic Protected Health Information or Unsecured Protected Health Information (herein “PHI”);

  • Information The Buyer and its advisors, if any, have been, and for so long as the Note remain outstanding will continue to be, furnished with all materials relating to the business, finances and operations of the Company and materials relating to the offer and sale of the Securities which have been requested by the Buyer or its advisors. The Buyer and its advisors, if any, have been, and for so long as the Note remain outstanding will continue to be, afforded the opportunity to ask questions of the Company. Notwithstanding the foregoing, the Company has not disclosed to the Buyer any material nonpublic information and will not disclose such information unless such information is disclosed to the public prior to or promptly following such disclosure to the Buyer. Neither such inquiries nor any other due diligence investigation conducted by Buyer or any of its advisors or representatives shall modify, amend or affect Buyer’s right to rely on the Company’s representations and warranties contained in Section 3 below. The Buyer understands that its investment in the Securities involves a significant degree of risk. The Buyer is not aware of any facts that may constitute a breach of any of the Company's representations and warranties made herein.

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