D&O and FINRA Questionnaires Clause Samples
The D&O and FINRA Questionnaires clause requires directors, officers, and other relevant individuals to complete and submit detailed questionnaires regarding their background, affiliations, and compliance with regulatory standards, particularly those set by the Financial Industry Regulatory Authority (FINRA). These questionnaires typically gather information about personal and professional history, potential conflicts of interest, and any disciplinary actions or legal proceedings. The core function of this clause is to ensure that all individuals in key positions meet regulatory requirements and to help the company identify and address any issues that could affect its compliance or reputation.
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D&O and FINRA Questionnaires. To the Company’s knowledge, assuming reasonable inquiry, all information contained in the questionnaires (“Questionnaires”) completed by each of the Company’s officers, directors and stockholders (“Insiders”) and provided to the Representative and its counsel and the biographies of the Insiders contained in the Registration Statement, Sale Preliminary Prospectus and the Prospectus (to the extent a biography is included) is true and correct and the Company has not become aware of any information which would cause the information disclosed in the Questionnaires completed by each Insider to become inaccurate, incorrect or incomplete.
D&O and FINRA Questionnaires. To the Company’s knowledge, all information contained in the questionnaires (the “Questionnaires”) completed by each of the Company’s directors, officers and principal stockholders immediately prior to the Offering as supplemented by all information concerning the Company’s directors, officers and principal stockholders as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, provided to the Underwriters is true and correct in all material respects and the Company has not become aware of any information which would cause the information disclosed in the Questionnaires to become inaccurate and incorrect in any material respect.