Suspension or Restriction. In the event that Correspondent or any employee of Correspondent shall become subject to suspension or restriction by any regulatory body having jurisdiction over Correspondent and Correspondent’s securities business, Correspondent will notify Apex immediately and Correspondent authorizes Apex to take such steps as may be necessary for Apex to maintain compliance with the rules and regulations to which Apex is subject. Correspondent further authorizes Apex, in any event to comply with directives or demands made upon Apex by any exchange or regulatory body relative to Correspondent and Customers. In connection with such directives or demands, Apex may seek advice or legal counsel and Correspondent will reimburse Apex for reasonable fees and expenses of such counsel.
Suspension or Restriction. In the event that Correspondent or any employee of Correspondent shall become subject to suspension or restriction by any regulatory or self-regulatory body having jurisdiction over Correspondent and Correspondent’s securities business, Correspondent will notify Apex immediately and Correspondent authorizes Apex to take such steps as may be necessary for Apex to maintain compliance with the rules and regulations to which Apex is subject. Correspondent further authorizes Apex, in any event, to comply with directives or demands made upon Apex by any exchange or regulatory or self- regulatory body relative to Correspondent. In connection with such directives or demands, Apex may seek advice or legal counsel and Correspondent will reimburse Apex for reasonable fees and expenses of such counsel.
Suspension or Restriction. In the event that CLAY or any employee of CLAY shall become subject to suspension or restriction by any regulatory body having jurisdiction over CLAY and CLAY's securities business, CLAY will notify FSWC immediately and CLAY authorizes FSWC to take such steps as may be necessary for FSWC to maintain compliance with the rules and regulations to which FSWC is subject. CLAY further authorizes FSWC, in such event, to comply with directives or demands made upon FSWC by any exchange or regulatory body. In connection with such directives or demands, FSWC may seek advice or legal counsel and CLAY will reimburse FSWC for reasonable fees and expenses of such counsel.
Suspension or Restriction. In the event that Correspondent learns that Correspondent or any of its affiliates or executive officers becomes subject to revocation, suspension, bar, injunction, restriction, consent decree, cease-and-desist order, or other formal disciplinary action by the SEC, the Financial Industry Regulatory Authority (“FINRA”), or any other regulatory or governmental body having jurisdiction over Correspondent or such affiliate or executive officer, Correspondent shall notify Ridge promptly and, in addition to such other rights and remedies as Ridge may have under this Agreement and the Applicable Laws and Rules, Correspondent authorizes Ridge to take such reasonable steps as Ridge determines, in its sole and exclusive discretion, may be necessary or advisable for Ridge to be in compliance with the Applicable Laws and Rules. Correspondent further authorizes Ridge, in such event, to comply with requests, directives or demands made upon Ridge by any such exchange or regulatory body. In connection with such requests, directives or demands, Ridge may seek advice or legal counsel.
Suspension or Restriction. In the event that Correspondent or any employee of Correspondent shall become subject to suspension or restriction by any regulatory body having jurisdiction over Correspondent and Correspondent's securities business, Correspondent will notify Pensxx xxxediately and Correspondent authorizes Pensxx xx take such steps as may be necessary for Pensxx xx maintain compliance with the rules and regulations to which Pensxx xx subject. Correspondent further authorizes Pensxx, xx any event, to comply with directives or demands made upon Pensxx xx any exchange or regulatory body relative to Correspondent and Customers. In connection with such directives or demands, Pensxx xxx seek advice or legal counsel and Correspondent will reimburse Pensxx xxx reasonable fees and expenses of such counsel. Proprietary and Confidential
Suspension or Restriction. Without limiting any of 5G’s other rights or remedies, whether under the Supply Agreement or otherwise, 5G may suspend or restrict any or all of the Services at any time, without liability to 5G if:
Suspension or Restriction. In the event that ALEX or any employee of ALEX shall become subject to suspension or restriction by any regulatory body having jurisdiction over ALEX and ALEX'S securities business, ALEX WILL notify FSWC immediately and ALEX authorizes FSWC to take such steps as may be necessary for FSWC to maintain compliance with the rules and regulations to which FSWC is subject. ALEX further authorizes FSWC, in such event, to comply with directives or demands made upon FSWC by any exchange or regulatory body. In connection with such directives or demands, FSWC may seek advice or legal counsel and ALEX will reimburse FSWC for reasonable fees and expenses of such counsel.
Suspension or Restriction. In the event that Correspondent learns that Correspondent or any employee of Correspondent may become subject to revocation, suspension, bar, restriction, censure or other formal disciplinary action by the SEC, NYSE, NASD, or any other regulatory or governmental body having jurisdiction over Correspondent or such employee, Correspondent shall notify ICS immediately and, in addition to such other rights and remedies as ICS may have under this Agreement and the Laws and Rules, Correspondent authorizes ICS to take such steps as may be necessary for ICS to maintain compliance by ICS with the Laws and Rules. Correspondent further authorizes ICS, in such event, to comply with directives or demands made upon ICS by any such exchange or regulatory body. In connection with such directives or demands, ICS may seek advice or legal counsel and Correspondent shall promptly reimburse ICS for the reasonable fees and expenses of such counsel, as incurred.
Suspension or Restriction. In the event that Correspondent learns that Correspondent or any of its employees becomes subject to revocation, suspension, bar, injunction, restriction, censure, consent decree, cease-and-desist order, or other formal disciplinary action by the SEC, NYSE, NASD, or any other regulatory or governmental body having jurisdiction over Correspondent or such employee, Correspondent shall notify Ridge immediately and, in addition to such other rights and remedies as Ridge may have under this Agreement and the Applicable Laws and Rules, Correspondent authorizes Ridge to take such steps as Ridge determines, in its sole and exclusive discretion, may be necessary or advisable for Ridge to be in compliance with the Applicable Laws and Rules. Correspondent further authorizes Ridge, in such event, to comply with requests, directives or demands made upon Ridge by any such exchange or regulatory body. In connection with such requests, directives or demands, Ridge may seek advice or legal counsel and Correspondent shall promptly reimburse Ridge for the reasonable fees and expenses of such counsel, in each case as incurred.
Suspension or Restriction. In the event that Correspondent learns that Correspondent or any principal of Correspondent has become subject to revocation, suspension, bar, restriction, censure or other formal disciplinary action by the SEC, NASD or any other regulatory, self-regulatory or enforcement or governmental body having jurisdiction over Correspondent or such principal, Correspondent shall notify Clearing Broker immediately and, in addition to such other rights and remedies as Clearing Broker may have under this Agreement and the Laws and Rules, Correspondent authorizes Clearing Broker to take such steps as may be necessary for Clearing Broker to maintain compliance by Clearing Broker with the Laws and Rules. Correspondent further authorizes Clearing Broker, in such event, to comply with directives or demands made upon Clearing Broker by any such exchange or regulatory or self-regulatory body. In connection with such directives or demands, Clearing Broker may seek advice or legal counsel and Correspondent shall promptly reimburse Clearing Broker for the reasonable fees and expenses of such counsel, as incurred.
