Compliance with Securities Laws Clause Example with 27 Variations from Business Contracts

This page contains Compliance with Securities Laws clauses in business contracts and legal agreements. An example clause is provided at the top of the page, followed by clauses with minor variations. You can view the text differences by selecting the "Show Differences" option.
Compliance with Securities Laws. The grant of Awards and the issuance of shares of Stock thereunder shall be subject to compliance with all applicable requirements of federal, state and foreign law with respect to such securities. Options and stock appreciation rights may not be exercised if the issuance of shares of Stock upon such exercise would constitute a violation of any applicable federal, state or foreign securities laws or other law or regulations or the requirements of any stock exchange or market system upon which th...e Stock may then be listed. In addition, no shares of Stock may be issued under the Plan unless (a) a registration statement under the Securities Act shall be in effect at the time of such issuances with respect to shares issuable under the Plan or (b) in the opinion of legal counsel to the Company, the shares issuable under the Plan may be issued in accordance with the terms of an applicable exemption from the registration requirements of the Securities Act. The inability of the Company to obtain from any regulatory body having jurisdiction the authority, if any, deemed by the Company's legal counsel to be necessary to the lawful issuance and sale of any shares hereunder shall relieve the Company of any liability in respect of the failure to issue or sell such shares as to which such requisite authority shall not have been obtained. As a condition to the issuance of shares pursuant to any Award, the Company may require the holder to satisfy any qualifications that may be necessary or appropriate, to evidence compliance with any applicable law or regulation and to make any representation or warranty with respect thereto as may be requested by the Company. View More Arrow

Variations of a "Compliance with Securities Laws" Clause from Business Contracts

Compliance with Securities Laws. The grant Notwithstanding any provision of Awards and this Agreement to the contrary, the issuance of shares of Stock thereunder shall will be subject to compliance with all applicable requirements of federal, state and state, or foreign law with respect to such securities. Options securities and with the requirements of any stock appreciation rights exchange or market system upon which the Stock may not then be exercised listed. No Stock will be issued hereunder if the such issuance of shares o...f Stock upon such exercise would constitute a violation of any applicable federal, state state, or foreign securities laws or other law or regulations or the requirements of any stock exchange or market system upon which the Stock may then be listed. In addition, no shares of Stock may will not be issued under the Plan hereunder unless (a) a registration statement under the Securities Act shall be in effect is, at the time of such issuances issuance, in effect with respect to the shares issuable under the Plan issued or (b) in the opinion of legal counsel to the Company, the shares issuable under the Plan issued may be issued in accordance with the terms of an applicable exemption from the registration requirements of the Securities Act. YOU ARE CAUTIONED THAT ISSUANCE OF STOCK UPON THE VESTING OF RESTRICTED STOCK UNITS GRANTED PURSUANT TO THIS AGREEMENT MAY NOT OCCUR 3 UNLESS THE FOREGOING CONDITIONS ARE SATISFIED. The inability of the Company to obtain from any regulatory body having jurisdiction the authority, if any, deemed by the Company's legal counsel to be necessary to the lawful issuance and sale of any shares hereunder shall subject to the Award will relieve the Company of any liability in respect of the failure to issue or sell such shares as to which such requisite authority shall has not have been obtained. As a condition to the any issuance of shares pursuant to any Award, hereunder, the Company may require the holder you to satisfy any qualifications that may be necessary or appropriate, appropriate to evidence compliance with any applicable law or regulation and to make any representation or warranty with respect thereto to such compliance as may be requested by the Company. From time to time, the Board and appropriate officers of the Company are authorized to take the actions necessary and appropriate to file required documents with governmental authorities, stock exchanges, and other appropriate Persons to make shares of Stock available for issuance. View More Arrow
Compliance with Securities Laws. The grant Notwithstanding any provision of Awards and this Award to the contrary, the issuance of shares of Stock thereunder shall will be subject to compliance with all applicable requirements of federal, state and state, or foreign law with respect to such securities. Options securities and with the requirements of any stock appreciation rights exchange or market system upon which the Stock may not then be exercised listed. No Stock will be issued hereunder if the such issuance of shares of St...ock upon such exercise would constitute a violation of any applicable federal, state state, or foreign securities laws or other law laws or regulations or the requirements of any stock exchange or market system upon which the Stock may then be listed. In addition, no shares of Stock may will not be issued under the Plan 3 hereunder unless (a) a registration statement under the Securities Act shall be in effect is at the time of such issuances issuance in effect with respect to the shares issuable under the Plan issued or (b) in the opinion of legal counsel to of the Company, the shares issuable under the Plan issued may be issued in accordance with the terms of an applicable exemption from the registration requirements of the Securities Act. THE HOLDER IS CAUTIONED THAT DELIVERY OF STOCK UPON THE VESTING OF AWARD RESTRICTED STOCK GRANTED PURSUANT TO THIS AWARD MAY NOT OCCUR UNLESS THE FOREGOING CONDITIONS ARE SATISFIED. The inability of the Company to obtain from any regulatory body having jurisdiction the authority, if any, deemed by the Company's legal counsel to be necessary to the lawful issuance and sale of any shares hereunder shall of Stock subject to the Award will relieve the Company of any liability in respect of the failure to issue or sell such shares as to which such requisite authority shall has not have been obtained. As a condition to the any issuance of shares pursuant to any Award, hereunder, the Company may require the holder you to satisfy any qualifications that may be necessary or appropriate, appropriate to evidence compliance with any applicable law or regulation and to make any representation or warranty with respect thereto to such compliance as may be requested by the Company. From time to time, the Board and appropriate officers of the Company are authorized to take the actions necessary and appropriate to file required documents with governmental authorities, stock exchanges, and other appropriate persons to make shares of Stock available for issuance. View More Arrow
Compliance with Securities Laws. The grant Notwithstanding any provision of Awards and this Agreement to the contrary, the issuance of shares of Stock thereunder shall (including Restricted Shares) will be subject to compliance with all applicable requirements of federal, state and state, or foreign law with respect to such securities. Options securities and with the requirements of any stock appreciation rights exchange or market system upon which the Stock may not then be exercised listed. No Stock will be issued hereunder if... the such issuance of shares of Stock upon such exercise would constitute a violation of any applicable federal, state state, or foreign securities laws or other law or regulations or the requirements of any stock exchange or market system upon which the Stock may then be listed. In addition, no shares of Stock may will not be issued under the Plan hereunder unless (a) a registration statement under the Securities Act shall be in effect of 1933, as amended (the "Act"), is at the time of such issuances issuance in effect with respect to the shares issuable under the Plan issued or (b) in the opinion of legal counsel to the Company, the shares issuable under the Plan issued may be issued in accordance with the terms of an applicable exemption from the registration requirements of the Securities Act. The inability of the Company to obtain from any regulatory body having jurisdiction the authority, if any, deemed by the Company's legal counsel to be necessary to the lawful issuance and sale of any shares hereunder shall subject to the Award will relieve the Company of any liability in respect of the failure to issue or sell such shares as to which such requisite authority shall has not have been obtained. As a condition to the any issuance of shares pursuant to any Award, hereunder, the Company may require the holder you to satisfy any qualifications that may be necessary or appropriate, appropriate to evidence 3 compliance with any applicable law or regulation and to make any representation or warranty with respect thereto to such compliance as may be requested by the Company. From time to time, the Board and appropriate officers of the Company are authorized to take the actions necessary and appropriate to file required documents with governmental authorities, stock exchanges, and other appropriate Persons to make shares of Stock available for issuance. View More Arrow
Compliance with Securities Laws. The grant Notwithstanding any provision of Awards and this Award to the contrary, the issuance of shares of Stock thereunder shall will be subject to compliance with all applicable requirements of federal, state and state, or foreign law with respect to such securities. Options securities and with the requirements of any stock appreciation rights exchange or market system upon which the Stock may not then be exercised listed. No Stock will be issued hereunder if the such issuance of shares of St...ock upon such exercise would constitute a violation of any applicable federal, state state, or foreign securities laws or other law laws or regulations or the requirements of any stock exchange or market system upon which the Stock may then be listed. In addition, no shares of Stock may will not be issued under the Plan issuedhereunder unless (a) a registration statement under the Securities Act shall be in effect is at the time of such issuances issuance in effect with respect to the shares issuable under the Plan issued or (b) in the opinion of legal counsel to of the Company, the shares issuable under the Plan issued may be issued in accordance with the terms of an applicable exemption from the registration requirements of the Securities Act. THE HOLDER IS CAUTIONED THAT DELIVERY OF STOCK UPON THE VESTING OF AWARD RESTRICTED STOCK GRANTED PURSUANT TO THIS AWARD MAY NOT OCCUR UNLESS THE FOREGOING CONDITIONS ARE SATISFIED. The inability of the Company to obtain from any regulatory body having jurisdiction the authority, if any, deemed by the Company's legal counsel to be necessary to the lawful issuance and sale of any shares hereunder shall of Stock subject to the Award will relieve the Company of any liability in respect of the failure to issue or sell such shares as to which such requisite authority shall has not have been obtained. As a condition to the any issuance of shares pursuant to any Award, hereunder, the Company may require the holder you to satisfy any qualifications that may be necessary or appropriate, appropriate to evidence compliance with any applicable law or regulation and to make any representation or warranty with respect thereto to such compliance as may be requested by the Company. From time to time, the Board and appropriate officers of the Company are authorized to take the actions necessary and appropriate to file required documents with governmental authorities, stock exchanges, and other appropriate persons to make shares of Stock available for issuance. View More Arrow
Compliance with Securities Laws. The grant Notwithstanding any provision of Awards and this Award to the contrary, the issuance of shares of Stock thereunder shall will be subject to compliance with all applicable requirements of federal, state and state, or foreign law with respect to such securities. Options securities and with the requirements of any stock appreciation rights exchange or market system upon which the Stock may not then be exercised listed. No Stock will be issued 6 hereunder if the such issuance of shares of ...Stock upon such exercise would constitute a violation of any applicable federal, state state, or foreign securities laws or other law laws or regulations or the requirements of any stock exchange or market system upon which the Stock may then be listed. In addition, no shares of Stock may will not be issued under the Plan hereunder unless (a) a registration statement under the Securities Act shall be in effect is at the time of such issuances issuance in effect with respect to the shares issuable under the Plan issued or (b) in the opinion of legal counsel to of the Company, the shares issuable under the Plan issued may be issued in accordance with the terms of an applicable exemption from the registration requirements of the Securities Act. THE HOLDER IS CAUTIONED THAT ISSUANCE OF COMPANY COMMON STOCK UPON THE VESTING OF PERFORMANCE SHARES GRANTED PURSUANT TO THIS AWARD MAY NOT OCCUR UNLESS THE FOREGOING CONDITIONS ARE SATISFIED. The inability of the Company to obtain from any regulatory body having jurisdiction the authority, if any, deemed by the Company's legal counsel to be necessary to the lawful issuance and sale of any shares hereunder shall of Stock subject to the Award will relieve the Company of any liability in respect of the failure to issue or sell such shares as to which such requisite authority shall has not have been obtained. As a condition to the any issuance of shares pursuant to any Award, hereunder, the Company may require the holder you to satisfy any qualifications that may be necessary or appropriate, appropriate to evidence compliance with any applicable law or regulation and to make any representation or warranty with respect thereto to such compliance as may be requested by the Company. From time to time, the Board and appropriate officers of the Company are authorized to take the actions necessary and appropriate to file required documents with governmental authorities, stock exchanges, and other appropriate persons to make shares of Stock available for issuance. View More Arrow
Compliance with Securities Laws. The grant of Awards and the issuance of shares of Stock thereunder pursuant to any Award shall be subject to compliance with all applicable requirements of federal, state and foreign law with respect to such securities. Options securities and stock appreciation rights may not be exercised if the issuance of shares of Stock upon such exercise would constitute a violation of any applicable federal, state or foreign securities laws or other law or regulations or the requirements of any stock exchan...ge or market system upon which the Stock may then be listed. In addition, no shares of Stock Award may be exercised or stock issued under the Plan pursuant to an Award unless (a) a registration statement under the Securities Act shall be in effect at the time of such issuances exercise or issuance be in effect with respect to shares the stock issuable under pursuant to the Plan Award or (b) in the opinion of legal counsel to the Company, the shares stock issuable under pursuant to the Plan Award may be issued in accordance with the terms of an applicable exemption from the registration requirements of the Securities Act. The inability of the Company to obtain from any regulatory body having jurisdiction the authority, if any, deemed by the Company's legal counsel to be necessary to the lawful issuance and sale of any shares stock hereunder shall relieve the Company of any liability in respect of the failure to issue or sell such shares stock as to which such requisite authority shall not have been obtained. As a condition to the issuance of shares pursuant to any Award, Stock, the Company may require the holder Optionee to satisfy any qualifications that may be necessary or appropriate, to evidence compliance with any applicable law or regulation and to make any representation or warranty with respect thereto as may be requested by the Company. View More Arrow
Compliance with Securities Laws. The grant of Awards and the issuance of shares of Stock thereunder pursuant to any Award shall be subject to compliance with all applicable requirements of federal, state and foreign law with respect to such securities. Options securities and stock appreciation rights may not be exercised if the issuance of shares of Stock upon such exercise would constitute a violation of any applicable federal, state or foreign securities laws or other law or regulations or the requirements of any stock exchan...ge or market system upon which the Stock may then be listed. listed (including without limitation, the NASDAQ Listing Rules). In addition, no shares of Stock Award may be exercised or shares issued under the Plan pursuant to an Award unless (a) a registration statement under the Securities Act shall be in effect at the time of such issuances exercise or issuance be in effect with respect to the shares issuable under pursuant to the Plan Award, or (b) in the opinion of legal counsel to the Company, the shares issuable under pursuant to the Plan Award may be issued in accordance with the terms of an applicable exemption from the registration requirements of the Securities Act. The inability of the Company to obtain from any regulatory body having jurisdiction the authority, if any, deemed by the Company's legal counsel to be necessary to the lawful issuance and sale of any shares hereunder under the Plan shall relieve the Company of any liability in respect of the failure to issue or sell such shares as to which such requisite authority shall not have been obtained. As a condition to the issuance of shares pursuant to any Award, Stock, the Company may require the holder Participant to satisfy any qualifications that may be necessary or appropriate, to evidence compliance with any applicable law or regulation and to make any representation or warranty with respect thereto as may be requested by the Company. View More Arrow
Compliance with Securities Laws. The grant of Awards and the issuance of shares of Stock thereunder pursuant to Awards shall be subject to compliance with all applicable requirements of federal, state and foreign law with respect to such securities. Options and stock appreciation rights Awards may not be exercised if the issuance of shares of Stock upon such exercise would constitute a violation of any applicable federal, state or foreign securities laws or other law or regulations or the requirements of any stock exchange or m...arket system upon which the Stock may then be listed. In addition, no shares of Stock Award may be issued under the Plan exercised unless (a) a registration statement under the Securities Act shall be in effect at the time of such issuances exercise of the Award be in effect with respect to the shares issuable under upon exercise of the Plan Award or (b) in the opinion of legal counsel to the Company, the shares issuable under upon exercise of the Plan Award may be issued in accordance with the terms of an applicable exemption from the registration requirements of the Securities Act. The inability of the Company to obtain from any regulatory body having jurisdiction the authority, if any, deemed by the Company's legal counsel to be necessary to the lawful issuance and sale of any shares hereunder shall relieve the Company of any liability in respect of the failure to issue or sell such shares as to which such requisite authority shall not have been obtained. As a condition to the issuance exercise of shares any Award or the receipt of any Stock pursuant to any Award, this Plan, the Company may require the holder Grantee to satisfy any qualifications that may be necessary or appropriate, to evidence compliance with any applicable law or regulation and to make any representation or warranty with respect thereto as may be requested by the Company. View More Arrow
Compliance with Securities Laws. The grant of Awards and the issuance of shares of Stock thereunder pursuant to Awards shall be subject to compliance with all applicable requirements of federal, state and foreign law with respect to such securities. Options and stock appreciation rights Awards may not be exercised if the issuance of shares of Stock upon such exercise would constitute a violation of any applicable federal, state or foreign securities laws or other law or regulations or the requirements of any stock exchange or m...arket system upon which the Stock may then be listed. In addition, no shares of Stock Award may be issued under the Plan exercised unless (a) a registration statement under the Securities Act shall be in effect at the time of such issuances exercise of the Award be in effect with respect to the shares issuable under upon exercise of the Plan Award or (b) in the opinion of legal counsel to the Company, the shares issuable under upon exercise of the Plan Award may be issued in accordance with the terms of an applicable exemption from the registration requirements of the Securities Act. The inability of the Company to obtain from any regulatory body having jurisdiction the authority, if any, deemed by the Company's legal counsel to be necessary to the lawful issuance and sale of any shares hereunder shall relieve the Company of any liability in respect of the failure to issue or sell such shares as to which such requisite authority shall not have been obtained. As a condition to the issuance exercise of shares any Award or the receipt of any Stock pursuant to any Award, this Plan, the Company may require the holder Grantee to satisfy any qualifications that may be necessary or appropriate, to evidence compliance with any applicable law or regulation and to make any representation or warranty with respect thereto as may be requested by the Company. View More Arrow
Compliance with Securities Laws. The grant of Awards and the issuance of shares of Stock thereunder pursuant to any Award shall be subject to compliance with all applicable requirements of federal, state and foreign law with respect to such securities. Options securities and stock appreciation rights may not be exercised if the issuance of shares of Stock upon such exercise would constitute a violation of any applicable federal, state or foreign securities laws or other law or regulations or the requirements of any stock exchan...ge or market system upon which the Stock may then be listed. In addition, no shares of Stock Award may be exercised or shares issued under the Plan pursuant to an Award unless (a) a registration statement under the Securities Act shall be in effect at the time of such issuances exercise or issuance be in effect with respect to the shares issuable under pursuant to the Plan Award or (b) in the opinion of legal counsel to the Company, the shares issuable under pursuant to the Plan Award may be issued in accordance with the terms of an applicable exemption from the registration requirements of the Securities Act. The inability of the Company to obtain from any regulatory body having jurisdiction the authority, if any, deemed by the Company's legal counsel to be necessary to the lawful issuance and sale of any shares hereunder shall relieve the Company of any liability in respect of the failure to issue or sell such shares as to which such requisite authority shall not have been obtained. As a condition to the issuance of shares pursuant to any Award, Stock, the Company may require the holder Participant to satisfy any qualifications that may be necessary or appropriate, to 25 evidence compliance with any applicable law or regulation and to make any representation or warranty with respect thereto as may be requested by the Company. View More Arrow