(b) In the performance of services under this Agreement, OBX shall at all times be and remain in compliance with all federal and state securities and other applicable laws, rules and regulations. OBX acknowledge
As of their respective dates, the SEC Reports (x) complied as to form in all material respects with the applicable requirements of the Securities Act and the rules and regulations thereunder and the Securities Exchange Act of 1934, as amended, and the rules and regulations thereunder, as 12 ...
that its customers’ accounts are insured by the Securities Investors Protection Corporation (“SIPC”); and that, during the term of this Agreement, it will abide by all of the rules and regulations of FINRA including, without limitation, FINRA Conduct Rules, and all applicable federal or state...