Examples of FINRA in a sentence
There are no affiliations with any FINRA member firm among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company, except as set forth in the Registration Statement, the Base Prospectus, any Prospectus Supplement or the Prospectus.
FINRA shall not have raised any objection with respect to the fairness and reasonableness of the terms and arrangements under this Agreement.
The Placement Warrants are substantially identical to the warrants included as part of the Units to be offered in the IPO except that: (i) they are subject to the transfer restrictions described in Section 7 hereof; (ii) they will be entitled to registration rights; and (iii) they may not be exercisable more than five years from the commencement of sales in the IPO in accordance with FINRA Rule 5110(g)(8).
Should the Marketing Agent, or any of its agents and employees, materially fail to maintain compliance with all applicable laws, rules and regulations to which it is subject, or otherwise lose its status as a registered broker-dealer in good standing with FINRA, the Marketing Agent agrees to promptly notify the Sponsor.
The Marketing Agent agrees to furnish to the Trust or the Sponsor any comments provided by FINRA with respect to such materials.