Final Orders of Certain State and Federal Regulators. Are you subject to a Final Order (as defined below) of state regulators of securities, insurance, banking, savings associations or credit unions; federal banking agencies; the Commodity Futures Trading Commission; or the National Credit Union Administration that: ¨ bars you from: ¨ associating with an entity regulated by any of the aforementioned regulators; ¨ engaging in the business of securities, insurance or banking; or ¨ engaging in savings association or credit union activities; or ¨ constitutes a Final Order based on a violation of any law or regulation that prohibits fraudulent, manipulative, or deceptive conduct entered within the past ten (10) years? ¨ Yes. If yes, please explain: ¨ No.
Appears in 3 contracts
Samples: Amended And (Seven Stars Cloud Group, Inc.), Amended And (Seven Stars Cloud Group, Inc.), Subscription Agreement (Seven Stars Cloud Group, Inc.)
Final Orders of Certain State and Federal Regulators. Are you subject to a Final Order (as defined below) of state regulators of securities, insurance, banking, savings associations or credit unions; federal banking agencies; the Commodity Futures Trading Commission; or the National Credit Union Administration that: ¨ · bars you from: ¨ · associating with an entity regulated by any of the aforementioned regulators; ¨ · engaging in the business of securities, insurance or banking; or ¨ · engaging in savings association or credit union activities; or ¨ · constitutes a Final Order based on a violation of any law or regulation that prohibits fraudulent, manipulative, or deceptive conduct entered within the past ten (10) years? ¨ Yes. If yes, please explain: ____________________________________________________ ¨ No.
Appears in 2 contracts
Samples: Subscription Agreement (Xg Sciences Inc), Subscription Agreement (Xg Sciences Inc)
Final Orders of Certain State and Federal Regulators. Are you subject to a Final Order (as defined below) of state regulators of securities, insurance, banking, savings associations or credit unions; federal banking agencies; the Commodity Futures Trading Commission; or the National Credit Union Administration that: ¨ · bars you from: ¨ · associating with an entity regulated by any of the aforementioned regulators; ¨ · engaging in the business of securities, insurance or banking; or ¨ · engaging in savings association or credit union activities; or ¨ · constitutes a Final Order based on a violation of any law or regulation that prohibits fraudulent, manipulative, or deceptive conduct entered within the past ten (10) years? ¨ Yes. If yes, please explain: __________________________________________________________________ ¨ No.
Appears in 2 contracts
Samples: Private Placement Subscription Agreement (ZK International Group Co., Ltd.), Private Placement Subscription Agreement (ZK International Group Co., Ltd.)
Final Orders of Certain State and Federal Regulators. Are you subject to a Final Order (as defined below) of state regulators of securities, insurance, banking, savings associations or credit unions; federal banking agencies; the Commodity Futures Trading Commission; or the National Credit Union Administration that: ¨ · bars you from: ¨ · associating with an entity regulated by any of the aforementioned regulators; ¨ · engaging in the business of securities, insurance or banking; or ¨ · engaging in savings association or credit union activities; or ¨ · constitutes a Final Order based on a violation of any law or regulation that prohibits fraudulent, manipulative, or deceptive conduct entered within the past ten (10) years? ¨ □ Yes. If yes, please explain: ¨ □ No.
Appears in 1 contract
Samples: Private Placement Subscription Agreement (China Xuefeng Environmental Engineering Inc.)
Final Orders of Certain State and Federal Regulators. Are you subject to a Final Order (as defined below) of state regulators of securities, insurance, banking, savings associations or credit unions; federal banking agencies; the Commodity Futures Trading Commission; or the National Credit Union Administration that: ¨ ☐ bars you from: ¨ ☐ associating with an entity regulated by any of the aforementioned regulators; ¨ ☐ engaging in the business of securities, insurance or banking; or ¨ ☐ engaging in savings association or credit union activities; or ¨ ☐ constitutes a Final Order based on a violation of any law or regulation that prohibits fraudulent, manipulative, or deceptive conduct entered within the past ten (10) years? ¨ ☐Yes. If yes, please explain: ¨ ☐No.
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