NASD Filing definition

NASD Filing shall have the meaning assigned to such term in Section 5.1 hereof.
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NASD Filing. Materials created by JHBDS will be filed with the NASD by the JHBDS Compliance Department. Materials not created by JHBDS but to be included in the coop program will be filed with the NASD by the broker-dealer creating the materials. However, prior to use of the materials in our coop program, we will need a copy of the final version of the material as well as the NASDcomment letter. When this is received, the above approvals can be obtained.
Sample 1Sample 2
NASD Filing. Materials created by JHBDS will be filed with the NASD by the JHBDS Compliance Department. Materials not created by JHBDS but to be included in the coop program will be filed with the NASD by the broker-dealer creating the materials. However, prior to use of the materials in our coop program, we will need a copy of the final version of the material as well as the NASDcomment letter. When this is received, the above approvals can be obtained. [LOGO] JOHN XXXCXXX XXXDS, INC. Bostxx - Xxxxxxxxxxxxx - 00000-0000 13 JOHN XXXCXXX XXXDS, INC. 101 XXXXXXXXXX XXXXXX XXXXXX, XX 00000-0000 FINANCIAL INSTITUTION SALES AND SERVICE AGREEMENT Date --------------------------------
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Examples of NASD Filing in a sentence

  • The Company shall also advise the Investor immediately and shall confirm such advice in writing of the Company becoming aware of the happening of any event, which makes any statement made in the NASD Filing untrue or which requires the making of any additions to or changes to the statements then made in the NASD Filing in order to comply with Rule 2710 of the NASD’s Conduct Rules.

  • The Company hereby acknowledges and agrees that the Investor may rely on the representations and warranties contained in this Section 4.13 and elsewhere in this Agreement in connection with its preparation of the NASD Filing.

  • Furthermore, new provisions specifically relating to signage on fencing are proposed in clause 3 of Policy No. 3.5.2, relating to ‘Sign Specific Standards’.

  • Upon consummation of the transactions contemplated by this Agreement, the Underwriters shall reimburse the Company for the Printing Fees, the Road Show Expenses, the registration fee payable to the Commission upon filing of the Registration Statement, the NASD Filing Fee and the NYSE Listing Fee.

  • The same kinds of difference between the conventionaland Islamic indices were observed for China, EU and India.

  • The Company agrees to reimburse the Sales Agent for all of the Sales Agent’s reasonable and customary out-of-pocket expenses incurred in connection with the Offering and preparing for the Offering including, without limitation, NASD Filing Fees, database services, copying charges, telephone charges, meals, travel and lodging related expenses in connection with visits to the Company, not to exceed $6,500 unless pre-approved by the Company.

  • The Company hereby acknowledges and agrees that in connection with its preparation of the NASD Filing, the Investor may directly rely on (i) the representations and warranties of the Company contained in this Section 4.13 and elsewhere in this Agreement and (ii) the Company’s Directors’ and Officers’ NASD Questionnaires completed by each of the Company’s directors and executive officers, true and correct copies of which are included in Section 4.13 of the Disclosure Schedule.

  • The Company shall also advise the Investor promptly and shall confirm such advice in writing of the Company becoming aware of the happening of any event, which makes any statement made in the NASD Filing untrue or which requires the making of any additions to or changes to the statements then made in the NASD Filing in order to comply with Rule 2710 of the NASD’s Conduct Rules.

  • We will normally verify prices as part of our dispatch procedures so that, where a course’s correct price is less than our stated price; we will charge the lower amount when dispatching the course to you.

  • The Company shall use commercially reasonable efforts to cooperate with the Placements Agents and to assist them in pursuing the NASD Filing until the NASD issues a letter confirming that it does not object to the terms of the offering contemplated by the Registration Statement.

Related to NASD Filing

  • NASD Rules means the Rules of the National Association of Securities Dealers, Inc., as amended from time to time.

  • FINRA means the Financial Industry Regulatory Authority.

  • NASD means the National Association of Securities Dealers, Inc.

  • Form S-4 Registration Statement means the registration statement on Form S-4 to be filed with the SEC by Parent in connection with issuance of Parent Common Stock in the Merger, as said registration statement may be amended prior to the time it is declared effective by the SEC.

  • Rule 462(b) Registration Statement means a registration statement and any amendments thereto filed pursuant to Rule 462(b) relating to the offering covered by the registration statement referred to in Section 1(a) hereof.

  • Blue Sky Filing shall have the meaning assigned to such term in Section 6(a).

  • HSR Filing means filings with the United States Federal Trade Commission and the Antitrust Division of the United States Department of Justice of a Notification and Report Form for Certain Mergers and Acquisitions (as that term is defined in the HSR Act) with respect to the subject matter of this Agreement, together with all required documentary attachments thereto.

  • New Registration Statement has the meaning set forth in Section 2(a).

  • Filing means any registration, petition, statement, application, schedule, form, declaration, notice, notification, report, submission or other filing.

  • Registration Application means an application for registration of this Agreement as a planning agreement on the title of the Land pursuant to Section 7.6 of the Act in a form approved by the Registrar General;

  • Initial Registration Statement means the initial Registration Statement filed pursuant to this Agreement.

  • Registration Filing Date means the date that is ninety (90) calendar days after the Effective Date.

  • Resale Registration Statement means a registration statement under the Securities Act registering the Securities for resale pursuant to the terms of the Registration Rights Agreement.

  • Original Registration Statement. As used in this Agreement, the terms “amendment” or “supplement” when applied to the Registration Statement or the Prospectus shall be deemed to include the filing by the Company with the Commission of any document under the Exchange Act after the date hereof that is or is deemed to be incorporated therein by reference. All references in this Agreement to financial statements and schedules and other information which is “contained,” “included” or “stated” in the Registration Statement or the Prospectus (and all other references of like import) shall be deemed to mean and include all such financial statements and schedules and other information which is or is deemed to be incorporated by reference in or otherwise deemed under the Securities Act to be a part of or included in the Registration Statement or the Prospectus, as the case may be, as of any specified date; and all references in this Agreement to amendments or supplements to the Registration Statement or the Prospectus shall be deemed to mean and include, without limitation, the filing of any document under the Exchange Act which is or is deemed to be incorporated by reference in or otherwise deemed under the Securities Act to be a part of or included in the Registration Statement or the Prospectus, as the case may be, as of any specified date. At the time the Registration Statement was or will be originally declared effective and at the time the Company’s most recent annual report on Form 10-K was filed with the Commission, if later, the Company met the then-applicable requirements for use of Form S-3 under the Securities Act. During the Agency Period, each time the Company files an annual report on Form 10-K the Company will meet the then-applicable requirements for use of Form S-3 under the Securities Act.

  • Additional Registration Statement means a registration statement or registration statements of the Company filed under the 1933 Act covering any Additional Registrable Securities.

  • Listing Statement means the listing statement of Purchaser pertaining to the Transaction and in the form prescribed by the CSE;

  • statutory authority This agreement implements Iowa Code § 280.25 and is consistent with 34 C.F.R. 99.38 (2012).

  • FINRA Rules means the Constitution, By-Laws, and Rules of Fair Practice of the Financial Industry Regulatory Authority, Inc. ("FINRA") and any interpretations thereof.

  • Merger Registration Statement means the registration statement, together with all amendments, filed with the SEC under the Securities Act for the purpose of registering the offer of shares of NBT Common Stock to be offered to holders of CNB Common Stock in connection with the Merger.

  • international registration means the registration of a mark effected under the Agreement or the Protocol or both, as the case may be;

  • Listing means the listing of the shares of Common Stock on a national securities exchange.

  • Special Registration Statement means (i) a registration statement relating to any employee benefit plan or (ii) with respect to any corporate reorganization or transaction under Rule 145 of the Securities Act, any registration statements related to the issuance or resale of securities issued in such a transaction or (iii) a registration related to stock issued upon conversion of debt securities.

  • IPO Registration Statement means the Registration Statement on Form S-1 (File No. 333-196099), as amended, filed by the Partnership with the Commission under the Securities Act to register the offering and sale of the Common Units in the Partnership’s initial public offering of such Common Units to the public.

  • Filings the filing or recording of (i) the Financing Statements as set forth in Schedule 3, (ii) this Agreement or a notice thereof with respect to Intellectual Property as set forth in Schedule 3, and (iii) any filings after the Closing Date in any other jurisdiction as may be necessary under any Requirement of Law.

  • securities dealer means a person or entity that is authorized under provincial legislation to engage in the business of dealing in securities or any other financial instruments or to provide portfolio management or investment advising services.

  • Registration Agency means the Apprenticeship Branch, of the Ministry of Skills Development.