Securities Law and Other Regulatory Compliance Contract Clauses (134)

Grouped Into 3 Collections of Similar Clauses From Business Contracts

This page contains Securities Law and Other Regulatory Compliance clauses in business contracts and legal agreements. We have organized these clauses into groups of similarly worded clauses.
Securities Law and Other Regulatory Compliance. An Award will not be effective unless such Award is in compliance with all applicable federal and state securities laws, rules and regulations of any governmental body, and the requirements of any stock exchange or automated quotation system upon which the Shares may then be listed or quoted, as they are in effect on the date of grant of the Award and also on the date of exercise or other issuance. Notwithstanding any other provision in this Plan, the Company will have no obligation to issue or ...deliver certificates for Shares under this Plan prior to: (a) obtaining any approvals from governmental agencies that the Company determines are necessary or advisable; and/or (b) completion of any registration or other qualification of such Shares under any state or federal law or ruling of any governmental body that the Company determines to be necessary or advisable. The Company will be under no obligation to register the Shares with the SEC or to effect compliance with the registration, qualification or listing requirements of any state securities laws, stock exchange or automated quotation system, and the Company will have no liability for any inability or failure to do so. View More
Found in GLU MOBILE INC contract
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Securities Law and Other Regulatory Compliance. Although this Plan is intended to be a written compensatory benefit plan within the meaning of Rule 701 promulgated under the Securities Act, grants may be made pursuant to this plan that do not qualify for exemption under Rule 701 or Section 25102(o) of the California Corporations Code. Any requirement of this Plan which is required in law only because of Section 25102(o) need not apply with respect to a particular Award if the Committee so provides. An Award will not be effective unless such A...ward is in compliance with all applicable federal and state securities laws, rules and regulations of any governmental body, and the requirements of any stock exchange or automated quotation system upon which the Shares may then be listed or quoted, as they are in effect on the date of grant of the Award and also on the date of exercise or other issuance. Notwithstanding any other provision in this Plan, the Company will have no obligation to issue or deliver certificates for Shares under this Plan prior to: to (a) obtaining any approvals from governmental agencies that the Company determines are necessary or advisable; advisable, and/or (b) compliance with any exemption, completion of any registration or other qualification of such Shares under any state or federal law or ruling of any governmental body that the Company determines to be necessary or advisable. The Company will be under no obligation to register the Shares with the SEC or to effect compliance with the exemption, registration, qualification or listing requirements of any state securities laws, stock exchange or automated quotation system, and the Company will have no liability for any inability or failure to do so. View More
Found in Lyft, Inc. contract
Securities Law and Other Regulatory Compliance. An Award will not be effective unless such Award is in compliance with all applicable U.S. and foreign federal and state securities and exchange control and other laws, rules rules, and regulations of any governmental body, and the requirements of any stock exchange or automated quotation system upon which the Shares may then be listed or quoted, as they are in effect on the date of grant of the Award and also on the date of exercise or other issuance. Notwithstanding any other provision in this... Plan, the Company will have no obligation to issue or deliver certificates for Shares under this Plan prior to: (a) obtaining any approvals from governmental agencies that the Company determines are necessary or advisable; advisable and/or (b) completion of any registration or other qualification of such Shares under any state state, federal, or federal foreign law or ruling of 13 any governmental body that the Company determines to be necessary or advisable. The Company will be under no obligation to register the Shares with the SEC or to effect compliance with the registration, qualification qualification, or listing requirements of any foreign or state securities laws, exchange control laws, stock exchange exchange, or automated quotation system, and the Company will have no liability for any inability or failure to do so. View More
Found in Stoke Therapeutics, Inc. contract
Securities Law and Other Regulatory Compliance. An Award will not be effective unless such Award is in compliance with all applicable U.S. and foreign federal and state securities and exchange control and other laws, rules rules, and regulations of any governmental body, and the requirements of any stock exchange or automated quotation system upon which the Shares may then be listed or quoted, as they are in effect on the date of grant of the Award and also on the date of exercise or other issuance. Notwithstanding any other provision in this... Plan, the Company will have no obligation to issue or deliver certificates for Shares under this Plan prior to: (a) obtaining any approvals from governmental agencies that the Company determines are necessary or advisable; advisable and/or (b) completion of any registration or other 13 qualification of such Shares under any state state, federal, or federal foreign law or ruling of any governmental body that the Company determines to be necessary or advisable. The Company will be under no obligation to register the Shares with the SEC or to effect compliance with the registration, qualification qualification, or listing requirements of any foreign or state securities laws, exchange control laws, stock exchange exchange, or automated quotation system, and the Company will have no liability for any inability or failure to do so. View More
Found in Morphic Holding, Inc. contract
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Securities Law and Other Regulatory Compliance. The Company will not be obligated to issue any shares upon exercise of this Option unless such shares are at that time effectively registered or exempt from registration under the federal securities laws and the offer and sale of the shares are otherwise in compliance with all applicable securities laws. The Company will be under no obligation to register the shares with the SEC or to effect compliance with the registration, qualification or listing requirements of any state securities laws, sto...ck exchange or automated quotation system, and the Company will have no liability for any inability or failure to do so. Upon exercising all or any portion of this Option, Participant may be required to furnish representations or undertakings deemed appropriate by the Company to enable the offer and sale of the shares or subsequent transfers of any interest in such shares to comply with applicable securities laws. Evidences of ownership of shares acquired upon exercise of this Option will bear any legend required by, or useful for purposes of compliance with, applicable securities laws, the Plan or this Option. View More
Found in CESCA THERAPEUTICS INC. contract
Securities Law and Other Regulatory Compliance. The Company will not be obligated to issue any shares Shares upon exercise of this Option unless such shares Shares are at that time effectively registered or exempt from registration under the federal securities laws and the offer and sale of the shares Shares are otherwise in compliance with all applicable securities laws. The Company will be under no obligation to register the shares Shares with the SEC or to effect compliance with the registration, qualification or listing requirements of an...y state securities laws, stock exchange or automated quotation system, and the Company will have no liability for any inability or failure to do so. Upon exercising all or any portion of this Option, Participant may be required to furnish representations or undertakings deemed appropriate by the Company to enable the offer and sale of the shares Shares or subsequent transfers of any interest in such shares Shares to comply with applicable securities laws. Evidences of ownership of shares Shares acquired upon exercise of this Option will bear any legend required by, or useful for purposes of compliance with, applicable securities laws, the Plan or this Option. The exercise of this Option also must comply with other applicable laws and regulations governing the Option, and the Participant may not exercise the Option if the Company determines that such exercise would not be in material compliance with such laws and regulations. View More
Found in Flux Power Holdings, Inc. contract
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Securities Law and Other Regulatory Compliance. 16.1 Compliance with Securities Laws in Conjunction with Grants of Awards. 16.2 Compliance with Securities Laws in Conjunction with Exercise, Sale or Disposition of Award Securities.
Found in Ideal Power Inc. contract
Securities Law and Other Regulatory Compliance. 16.1 Compliance with Securities Laws in Conjunction with Grants of Awards. 16.2 Compliance with Securities Laws in Conjunction with Exercise, Sale or Disposition of Award Securities.
Found in Ideal Power Inc. contract
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