FINRA Affiliations. Neither the Company nor any Subsidiary directly or indirectly controls, is controlled by, or is under common control with, or is an associated person (within the meaning of Article I, Section 1(ee) of the By-laws of FINRA) of, any member firm of FINRA.
Appears in 8 contracts
Samples: Agent Agreement (BofI Holding, Inc.), Underwriting Agreement (BofI Holding, Inc.), Agent Agreement (BofI Holding, Inc.)
FINRA Affiliations. Neither the Company nor nor, to the Company’s knowledge, any Subsidiary of its affiliates (within the meaning of Rule 2720(b)(1)(a)) of the FINRA Manual) directly or indirectly controls, is controlled by, or is under common control with, or is an associated person (within the meaning of Article I, Section 1(ee) of the By-laws of FINRA) of, any member firm of FINRA.
Appears in 2 contracts
Samples: Agency Agreement (Aradigm Corp), Agency Agreement (Aradigm Corp)
FINRA Affiliations. Neither Except as described in the due diligence materials provided by the Company to the Placement Agents, neither the Company nor any Subsidiary nor any of their affiliates directly or indirectly controls, is controlled by, or is under common control with, or is an associated person (within the meaning of Article I, Section 1(ee) of the By-laws of FINRA) of, any member firm of FINRA.
Appears in 1 contract
Samples: Placement Agency Agreement (Axion Power International, Inc.)
