Broker-Dealer Status. (a) Are you a broker-dealer? Yes ☐ No ☐

Appears in 511 contracts

Samples: Registration Rights Agreement (Korro Bio, Inc.), Registration Rights Agreement (Titan Environmental Solutions Inc.), Registration Rights Agreement (Oncocyte Corp)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ☐ ¨ No ☐¨

Appears in 414 contracts

Samples: Rights Agreement (Neophotonics Corp), Registration Rights Agreement (Soliton, Inc.), Registration Rights Agreement (Digital Health Acquisition Corp.)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ☐ o No ☐o

Appears in 391 contracts

Samples: Securities Purchase Agreement (DARA BioSciences, Inc.), Registration Rights Agreement (Natural Health Trends Corp), Registration Rights Agreement (Ardea Biosciences, Inc./De)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ~~☐ No ☐~~No

Appears in 176 contracts

Samples: Registration Rights Agreement (Blue Calypso, Inc.), Registration Rights Agreement (Cord Blood America, Inc.), Registration Rights Agreement (Bioptix, Inc.)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ☐ [ ] No ☐[ ]

Appears in 100 contracts

Samples: Registration Rights Agreement (Electrum Mining LTD), Registration Rights Agreement (Vinco Ventures, Inc.), Registration Rights Agreement (Transportation & Logistics Systems, Inc.)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ☐  No ☐

Appears in 80 contracts

Samples: Registration Rights Agreement (Heavy Earth Resources, Inc.), Securities Purchase Agreement (Tapimmune Inc), Registration Rights Agreement (InspireMD, Inc.)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ☐ £ No ☐£

Appears in 18 contracts

Samples: Registration Rights Agreement (Dynastar Holdings, Inc.), Registration Rights Agreement (National Automation Services Inc), Registration Rights Agreement (Generex Biotechnology Corp)

Broker-Dealer Status. (~~a) Are~~ a)Are you a broker-dealer? Yes ☐ No ☐

Appears in 11 contracts

Samples: Registration Rights Agreement (Smith Micro Software, Inc), Registration Rights Agreement (Grow Capital, Inc.), Registration Rights Agreement (Smith Micro Software Inc)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ☐ [_] No ☐[_]

Appears in 9 contracts

Samples: Registration Rights Agreement (Duos Technologies Group, Inc.), Registration Rights Agreement (Duos Technologies Group, Inc.), Form of Registration Rights Agreement (Duos Technologies Group, Inc.)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ☐ • No ☐•

Appears in 7 contracts

Samples: Registration Rights Agreement (Ads in Motion, Inc.), Registration Rights Agreement (Tengion Inc), Registration Rights Agreement (Advaxis, Inc.)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ☐ _____ No ☐_____

Appears in 6 contracts

Samples: Registration Rights Agreement (Satellogic Inc.), Registration Rights Agreement (Reed's, Inc.), Registration Rights Agreement (Reed's, Inc.)

Broker-Dealer Status. (a) Are you a broker-dealer? o Yes ~~☐ No ☐~~o No

Appears in 6 contracts

Samples: Registration Rights Agreement (Syntax-Brillian Corp), Registration Rights Agreement (Syntax-Brillian Corp), Registration Rights Agreement (Syntax-Brillian Corp)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ☐ ¨ No ☐x

Appears in 4 contracts

Samples: Phaserx Registration Rights Agreement (Phaserx, Inc.), Phaserx Registration Rights Agreement (Phaserx, Inc.), Registration Rights Agreement (DPW Holdings, Inc.)

Broker-Dealer Status. (a) Are you a broker-dealer? ~~Yes ☐ No ☐~~Yes[ ] No[ ]

Appears in 3 contracts

Samples: Addendum Agreement (Interpace Biosciences, Inc.), Addendum Agreement (Interpace Biosciences, Inc.), Registration Rights Agreement (Nephros Inc)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ☐ __ No ☐__

Appears in 2 contracts

Samples: Registration Rights Agreement (Aurelio Resource Corp), Registration Rights Agreement (MetaStat, Inc.)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ☐ ☐ No ☐

Appears in 2 contracts

Samples: Registration Rights Agreement (Bio Key International Inc), Registration Rights Agreement (Viveve Medical, Inc.)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ☐ [ ]; No ☐[ ];

Appears in 2 contracts

Samples: Registration Rights Agreement (Parkervision Inc), Registration Rights Agreement (Parkervision Inc)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ☐  No ☐X

Appears in 2 contracts

Samples: Registration Rights Agreement (Imaging Diagnostic Systems Inc /Fl/), Registration Rights Agreement (Visualant Inc)

Broker-Dealer Status. ~~(a)~~ a. Are you a broker-dealer? Yes ☐ o No ☐o

Appears in 2 contracts

Samples: Registration Rights Agreement (Northern Oil & Gas, Inc.), Registration Rights Agreement (Telkonet Inc)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ☐ No ☐

Appears in 2 contracts

Samples: Registration Rights Agreement (DPW Holdings, Inc.), Registration Rights Agreement (RiceBran Technologies)

Broker-Dealer Status. (a) Are you a broker-dealer? ~~Yes ☐~~ Yes[ ] No ☐[ ]

Appears in 2 contracts

Samples: Registration Rights Agreement (Enveric Biosciences, Inc.), Registration Rights Agreement (Diginex LTD)

Broker-Dealer Status. (a) Are you a registered broker-dealer? Yes ☐ ¨ No ☐¨

Appears in 2 contracts

Samples: Registration Rights Agreement (Cereplast Inc), Registration Rights Agreement (Ascent Solar Technologies, Inc.)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ☐ o No ☐X

Appears in 2 contracts

Samples: Registration Rights Agreement (Titan Iron Ore Corp.), Registration Rights Agreement (Titan Iron Ore Corp.)

Broker-Dealer Status. (a) Are you a broker-dealer? ~~Yes ☐ No ☐~~YES ¨ NO ¨

Appears in 2 contracts

Samples: Registration Rights Agreement (Akoustis Technologies, Inc.), Registration Rights Agreement (Akoustis Technologies, Inc.)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ☐ No ☐☐ Annex B

Appears in 2 contracts

Samples: Registration Rights Agreement (Mri Interventions, Inc.), Registration Rights Agreement (Mri Interventions, Inc.)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ☐ . No ☐.

Appears in 2 contracts

Samples: Registration Rights Agreement (Coconnect Inc), Registration Rights Agreement (Coconnect Inc)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ☐ ¬ No ☐¬

Appears in 2 contracts

Samples: Registration Rights Agreement (Miramar Labs, Inc.), Registration Rights Agreement (Miramar Labs, Inc.)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ☐ * No ☐*

Appears in 1 contract

Samples: Stockholder Rights Agreement (Carver Bancorp Inc)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ☐ o  No ☐o 

Appears in 1 contract

Samples: Investor Rights Agreement (Cicero Inc)

Broker-Dealer Status. (a1) Are you a broker-dealer? Yes ☐ No ☐

Appears in 1 contract

Samples: Registration Rights Agreement (Manitex International, Inc.)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ☐  No ☐

Appears in 1 contract

Samples: Form of Registration Rights Agreement (Assured Pharmacy, Inc.)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes  ☐ No  ☐

Appears in 1 contract

Samples: Registration Rights Agreement (GeoVax Labs, Inc.)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ☐ [ ] No ☐X

Appears in 1 contract

Samples: Registration Rights Agreement (Greenfield Farms Food, Inc.)

Broker-Dealer Status. (a) Are you a broker-dealer? ~~Yes ☐ No ☐~~Yes¨ No¨

Appears in 1 contract

Samples: Registration Rights Agreement (Ideal Power Inc.)

Broker-Dealer Status. (a) Are you a broker-dealer? ~~Yes ☐ No ☐~~oYes o No

Appears in 1 contract

Samples: Registration Rights Agreement (VeruTEK Technologies, Inc.)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ☐ ☐No ☐

Appears in 1 contract

Samples: Form of Registration Rights Agreement (NRX Pharmaceuticals, Inc.)

Broker-Dealer Status. (~~a) Are~~ 1)Are you a broker-dealer? Yes ☐  No ☐

Appears in 1 contract

Samples: Registration Rights Agreement (Lion Biotechnologies, Inc.)

Broker-Dealer Status. (a) Are you a broker-dealer? ____ Yes ~~☐ No ☐~~____ No

Appears in 1 contract

Samples: Registration Rights Agreement (Health Revenue Assurance Holdings, Inc.)

Broker-Dealer Status. ~~(a)~~ A. Are you a broker-dealer? Yes ☐ ¨ No ☐¨

Appears in 1 contract

Samples: Securities Purchase Agreement (CASI Pharmaceuticals, Inc.)

Broker-Dealer Status. (a) Are you a broker-dealer? ~~Yes ☐ No ☐~~¨Yes ¨ No

Appears in 1 contract

Samples: Registration Rights Agreement (Hepalife Technologies Inc)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ☐ . No ☐.

Appears in 1 contract

Samples: Common Stock Purchase Agreement (Volitionrx LTD)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ☐ ______ No ☐______

Appears in 1 contract

Samples: Registration Rights Agreement (First Bancshares Inc /MS/)

Broker-Dealer Status. (~~a) Are~~ a)Are you a broker-dealer? Yes ☐ □ No ☐□

Appears in 1 contract

Samples: Registration Rights Agreement (Defense Technologies International Corp.)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ☐ No No☐

Appears in 1 contract

Samples: Registration Rights Agreement (Zymeworks Inc.)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ☐  No ☐ Annex B

Appears in 1 contract

Samples: Registration Rights Agreement (Mri Interventions, Inc.)

Broker-Dealer Status. ~~(a)~~ a. Are you a broker-dealer? Yes ☐ ¨ No ☐¨

Appears in 1 contract

Samples: Registration Rights Agreement (Telkonet Inc)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ☐ o No ☐o

Appears in 1 contract

Samples: Registration Rights Agreement (Palatin Technologies Inc)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ☐ q No ☐q

Appears in 1 contract

Samples: Registration Rights Agreement (Pro Pharmaceuticals Inc)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ~~☐ No ☐~~.

Appears in 1 contract

Samples: Subscription Agreement (Ring Energy, Inc.)

Broker-Dealer Status. (a) Are you a broker-dealer? ~~Yes ☐ No ☐~~Yeso  Noo

Appears in 1 contract

Samples: Registration Rights Agreement (Fluoropharma Medical, Inc.)

Broker-Dealer Status. (a) Are you a registered broker-dealer? Yes ☐ . No ☐.

Appears in 1 contract

Samples: Registration Rights Agreement (Digital Development Group Corp)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ☐ No ☐☐ 18

Appears in 1 contract

Samples: Registration Rights Agreement (Cosmos Holdings Inc.)

Broker-Dealer Status. (a) Are you a broker-dealer? ¨ Yes ~~☐ No ☐~~¨ No

Appears in 1 contract

Samples: Registration Rights Agreement (Bovie Medical Corp)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ☐☐ No ☐

Appears in 1 contract

Samples: Registration Rights Agreement (Greenland Technologies Holding Corp.)

Broker-Dealer Status. (~~a) Are~~ a)Are you a broker-dealer? Yes ☐ ¨ No ☐¨

Appears in 1 contract

Samples: Registration Rights Agreement (Alexza Pharmaceuticals Inc.)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ☐ ¨▪No ☐¨

Appears in 1 contract

Samples: Registration Rights Agreement (Avenue Therapeutics, Inc.)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ☐  No ☐

Appears in 1 contract

Samples: Registration Rights Agreement (Viveve Medical, Inc.)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ☐ No ☐☒

Appears in 1 contract

Samples: Stock Purchase Agreement (Lianluo Smart LTD)

Broker-Dealer Status. (a1) Are you a broker-dealer? Yes ☐ ¨ No ☐¨

Appears in 1 contract

Samples: Registration Rights Agreement (Lion Biotechnologies, Inc.)

Broker-Dealer Status. (~~a) Are~~ a)Are you a broker-dealer? Yes ☐  No ☐

Appears in 1 contract

Samples: Registration Rights Agreement (NeuroBo Pharmaceuticals, Inc.)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ☐ o  No ☐o

Appears in 1 contract

Samples: Registration Rights Agreement (Palatin Technologies Inc)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ☐ No No. ☐

Appears in 1 contract

Samples: Registration Rights Agreement (Royale Energy, Inc.)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ☐ ¨ No ☐X¨

Appears in 1 contract

Samples: Registration Rights Agreement (Tengion Inc)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ☐ མ No ☐མ

Appears in 1 contract

Samples: Registration Rights Agreement (Hoku Scientific Inc)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ☐ □ No ☐□

Appears in 1 contract

Samples: Registration Rights Agreement (POSITIVEID Corp)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ~~☐ No ☐~~[ ] No[ ]

Appears in 1 contract

Samples: Registration Rights Agreement (Velocity Asset Management Inc)

Broker-Dealer Status. (a) Are you a broker-dealer? ~~Yes~~ YES ☐ No NO ☐

Appears in 1 contract

Samples: Registration Rights Agreement (Akoustis Technologies, Inc.)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ☐ ___ No ☐___

Appears in 1 contract

Samples: Registration Rights Agreement (Paincare Holdings Inc)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ☐ o No ☐x

Appears in 1 contract

Samples: Registration Rights Agreement (Spatialight Inc)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ~~☐ No ☐~~oNo o

Appears in 1 contract

Samples: Registration Rights Agreement (Targeted Genetics Corp /Wa/)

Broker-Dealer Status. (a) Are you a broker-dealer? ~~Yes~~ Yes☐ No ☐

Appears in 1 contract

Samples: Registration Rights Agreement (International Land Alliance Inc.)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ☐  No ☐ 2

Appears in 1 contract

Samples: Registration Rights Agreement (Generation Income Properties, Inc.)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ☐ ? No ☐?

Appears in 1 contract

Samples: Registration Rights Agreement (Elixir Gaming Technologies, Inc.)

Common use of Broker-Dealer Status Clause in Contracts