Common use of FINRA Matters Clause in Contracts

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares is true, complete, correct and compliant with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

Appears in 54 contracts

Samples: Underwriting Agreement (Liquidia Technologies Inc), Underwriting Agreement (Mesa Laboratories Inc /Co), Underwriting Agreement (Supernus Pharmaceuticals Inc)

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FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Sponsor, the Company and, to the knowledge of the Company, its counsel, its officers and directors officers, directors, director nominees and the other holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares is trueOffering, complete, correct and compliant with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correctcorrect in all material respects and the Company has not become aware of any other information that would cause such provided information to become inaccurate and incorrect in any material respect.

Appears in 47 contracts

Samples: Underwriting Agreement (Perception Capital Corp. II), Underwriting Agreement (HealthCor Catalio Acquisition Corp.), Underwriting Agreement (Clarim Acquisition Corp.)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company and, to the knowledge of the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares is true, complete, correct and compliant with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules Conduct Rule 5110, 5121 or NASD Conduct Rules 5190 is true, complete and correctcorrect in all material aspects.

Appears in 31 contracts

Samples: Underwriting Agreement (Avino Silver & Gold Mines LTD), Underwriting Agreement (Neptune Technologies & Bioressources Inc.), Underwriting Agreement (Auryn Resources Inc.)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares is true, complete, correct and compliant with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

Appears in 30 contracts

Samples: Underwriting Agreement (Kindred Biosciences, Inc.), Underwriting Agreement (InspireMD, Inc.), Underwriting Agreement (Liquidia Corp)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company and, to the knowledge of the Company, its counsel, its officers and directors officers, directors, director nominees, the Sponsor and the other holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares Offering is true, complete, correct and compliant in all material respects with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correctrules.

Appears in 28 contracts

Samples: Underwriting Agreement (Tailwind Acquisition Corp.), Underwriting Agreement (Tailwind Acquisition Corp.), Underwriting Agreement (Helix Acquisition Corp)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares is true, complete, correct in all material respects and compliant with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correctcorrect in all material respects.

Appears in 27 contracts

Samples: Underwriting Agreement (Mirati Therapeutics, Inc.), Underwriting Agreement (Vical Inc), Underwriting Agreement (Mirati Therapeutics, Inc.)

FINRA Matters. All of the information (including, but not limited to, information regarding affiliations, security ownership and trading activity) provided to the Underwriters or to counsel for the Underwriters by the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares is true, complete, correct and compliant with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

Appears in 21 contracts

Samples: Underwriting Agreement (Arbor Realty Trust Inc), Underwriting Agreement (Arbor Realty Trust Inc), Management Agreement (Arbor Realty Trust Inc)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares Securities is true, complete, correct and compliant with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

Appears in 16 contracts

Samples: Underwriting Agreement (Phio Pharmaceuticals Corp.), Underwriting Agreement (Vaxart, Inc.), Underwriting Agreement (Opgen Inc)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company, its counsel, its officers and directors and and, to the Company’s knowledge, the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares is true, complete, correct in all material respects and compliant with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correctcorrect in all material respects.

Appears in 15 contracts

Samples: Underwriting Agreement (Aclaris Therapeutics, Inc.), Underwriting Agreement (Aclaris Therapeutics, Inc.), Underwriting Agreement (Kezar Life Sciences, Inc.)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares Securities is true, complete, correct and compliant with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

Appears in 15 contracts

Samples: Underwriting Agreement (Eiger BioPharmaceuticals, Inc.), Underwriting Agreement (Bancorp, Inc.), Underwriting Agreement (Rezolute, Inc.)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company, its counsel, its officers and directors officers, directors, director nominees, the Sponsor and the other holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares Offering is true, complete, correct and compliant in all material respects with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correctrules.

Appears in 11 contracts

Samples: Underwriting Agreement (Live Oak Acquisition Corp II), Underwriting Agreement (Live Oak Acquisition Corp II), Underwriting Agreement (Research Alliance Corp. II)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company, its counsel, its officers and directors and and, to the Company’s knowledge, the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares is true, complete, correct and compliant with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

Appears in 11 contracts

Samples: Underwriting Agreement (Scholar Rock Holding Corp), Underwriting Agreement (Bellerophon Therapeutics, Inc.), Underwriting Agreement (SQZ Biotechnologies Co)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company and, to the knowledge of the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares is true, complete, correct and compliant with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules Corporate Financing Rule 5110 is true, complete and correctcorrect in all material respects.

Appears in 11 contracts

Samples: Underwriting Agreement (Prospect Capital Corp), Underwriting Agreement (Prospect Capital Corp), Underwriting Agreement (Prospect Capital Corp)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company, its counsel, its officers and directors and and, to the Company’s knowledge, the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares is true, complete, complete and correct in all material respects and compliant with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correctcorrect in all material respects.

Appears in 10 contracts

Samples: Underwriting Agreement (Alx Oncology Holdings Inc), Underwriting Agreement (Alx Oncology Holdings Inc), Underwriting Agreement (Apogee Therapeutics, Inc.)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares is true, complete, correct and compliant offering’s compliance with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules Rule 5110 or NASD Conduct Rules 5121 is true, complete and correct.

Appears in 10 contracts

Samples: Underwriting Agreement (Exact Sciences Corp), Underwriting Agreement (Exact Sciences Corp), Underwriting Agreement (Exact Sciences Corp)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company and, to the knowledge of the Company, its counsel, its officers and directors officers, directors, director nominees, the Sponsor and the other holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares Offering is true, complete, correct and compliant with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correctrules.

Appears in 9 contracts

Samples: Underwriting Agreement (EQ Health Acquisition Corp.), Underwriting Agreement (EQ Health Acquisition Corp.), Underwriting Agreement (VPC Impact Acquisition Holdings II)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company, its counsel, its officers and directors and, to the Company’s knowledge, its counsel and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares is true, complete, complete and correct in all material respects and compliant with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correctcorrect in all material respects.

Appears in 8 contracts

Samples: Underwriting Agreement (Axovant Sciences Ltd.), Underwriting Agreement (Axovant Sciences Ltd.), Underwriting Agreement (IGM Biosciences, Inc.)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company, its counsel, its officers and directors and and, to the Company’s knowledge, the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares is true, complete, correct and compliant with FINRA’s rules in all material respects and any letters, filings or other supplemental information provided to FINRA by the Company pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correctcorrect in all material respects.

Appears in 8 contracts

Samples: Underwriting Agreement (Affimed N.V.), Underwriting Agreement (Affimed N.V.), Underwriting Agreement (Affimed N.V.)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company, its counsel, its officers and directors and and, to the knowledge of the Company, the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares is true, complete, correct in all material respects and compliant with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correctcorrect in all material respects.

Appears in 8 contracts

Samples: Underwriting Agreement (Bellicum Pharmaceuticals, Inc), Underwriting Agreement (Zynerba Pharmaceuticals, Inc.), Underwriting Agreement (Zynerba Pharmaceuticals, Inc.)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares Securities is true, complete, correct in all material respects and compliant with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correctcorrect in all material respects.

Appears in 8 contracts

Samples: Underwriting Agreement (Mirati Therapeutics, Inc.), Underwriting Agreement (Vical Inc), Underwriting Agreement (Mirati Therapeutics, Inc.)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares Securities is true, complete, correct and compliant with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

Appears in 8 contracts

Samples: Underwriting Agreement (Avadel Pharmaceuticals PLC), Underwriting Agreement (Ocata Therapeutics, Inc.), Underwriting Agreement (Abeona Therapeutics Inc.)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares is true, complete, correct and compliant with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or the NASD Conduct Rules of the FINRA Manual is true, complete and correct.

Appears in 7 contracts

Samples: Underwriting Agreement (Acadia Pharmaceuticals Inc), Underwriting Agreement (Acadia Pharmaceuticals Inc), Underwriting Agreement (Santarus Inc)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares is true, complete, correct and compliant with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules Rule 5110 or NASD Conduct Rules Rule 2720 is true, complete and correct.

Appears in 7 contracts

Samples: Underwriting Agreement (Avanir Pharmaceuticals, Inc.), Underwriting Agreement (Ardea Biosciences, Inc./De), Underwriting Agreement (Avanir Pharmaceuticals, Inc.)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company and, to the knowledge of the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares is true, complete, correct and compliant with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA Financial Industry Regulatory Authority ("FINRA") pursuant to FINRA Rules or NASD Conduct Rules Rule 5100 is true, complete and correctcorrect in all material respects.

Appears in 7 contracts

Samples: Underwriting Agreement (Golub Capital BDC, Inc.), Underwriting Agreement (Golub Capital BDC, Inc.), Underwriting Agreement (Golub Capital BDC, Inc.)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares is true, complete, correct and compliant with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correctcorrect in all material respects.

Appears in 7 contracts

Samples: Underwriting Agreement (Synta Pharmaceuticals Corp), Underwriting Agreement (Organovo Holdings, Inc.), Underwriting Agreement (Organovo Holdings, Inc.)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares is true, complete, correct and compliant with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

Appears in 7 contracts

Samples: Underwriting Agreement (Acadia Healthcare Company, Inc.), Underwriting Agreement (Acadia Healthcare Company, Inc.), Underwriting Agreement (Acadia Healthcare Company, Inc.)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company and, to the Company’s knowledge, its counsel, its officers and officers, directors and the holders of any securities (debt or equity) of the Company or options to acquire any securities of the Company in connection with the offering of the Offered Shares is true, complete, and correct and compliant with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

Appears in 7 contracts

Samples: Underwriting Agreement (Manchester United PLC), Underwriting Agreement (Edward S. Glazer Irrevocable Exempt Trust), Underwriting Agreement (Manchester United PLC)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company, its counsel, its officers and directors and and, to the Company’s knowledge, the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares is true, complete, correct and compliant in all material respects with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

Appears in 6 contracts

Samples: Underwriting Agreement (Aerovate Therapeutics, Inc.), Underwriting Agreement (Candel Therapeutics, Inc.), Underwriting Agreement (TELA Bio, Inc.)

FINRA Matters. All of the information provided to the Underwriters Underwriter or to counsel for the Underwriters Underwriter by the Company and, to the knowledge of the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares is true, complete, correct and compliant with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules Corporate Financing Rule 5110 is true, complete and correctcorrect in all material respects.

Appears in 6 contracts

Samples: Underwriting Agreement (Prospect Capital Corp), Underwriting Agreement (Prospect Capital Corp), Underwriting Agreement (Prospect Capital Corp)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters Underwriters, including in responses to questionnaires, by the Company, its counseland to the knowledge of the Company, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of filing by the Offered Shares is true, complete, correct and compliant with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA Underwriters pursuant to FINRA Rules Conduct Rule 2710 or NASD Conduct Rules 2720 is true, complete and correct.

Appears in 6 contracts

Samples: Underwriting Agreement (Sanchez Energy Corp), Underwriting Agreement (Sanchez Energy Corp), Underwriting Agreement (Triangle Petroleum Corp)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company, its counsel, its officers and directors officers, directors, director nominees, Sponsor and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares Offering is true, complete, correct and compliant with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

Appears in 6 contracts

Samples: Underwriting Agreement (AMCI Acquisition Corp. II), Underwriting Agreement (AMCI Acquisition Corp. II), Underwriting Agreement (AMCI Acquisition Corp. II)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company, its counseland to the knowledge of the Company, its officers and directors trustees and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares is true, complete, and correct and compliant with FINRA’s rules in all material respects and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD National Association of Securities Dealers, Inc. Conduct Rules is true, complete and correctcorrect in all material respects.

Appears in 6 contracts

Samples: Underwriting Agreement (National Storage Affiliates Trust), Underwriting Agreement (National Storage Affiliates Trust), Underwriting Agreement (National Storage Affiliates Trust)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company, its counsel, its officers and directors officers, directors, nominee directors, Sponsors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares Offering is true, complete, correct and compliant with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

Appears in 6 contracts

Samples: Underwriting Agreement (Landcadia Holdings II, Inc.), Underwriting Agreement (Landcadia Holdings III, Inc.), Underwriting Agreement (Landcadia Holdings II, Inc.)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company, its counsel, its officers and directors and, to the Company’s knowledge, its counsel and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares is true, complete, complete and correct in all material respects and compliant with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correctcorrect in all material respects.

Appears in 5 contracts

Samples: Underwriting Agreement (Wave Life Sciences Ltd.), Underwriting Agreement (Wave Life Sciences Pte LTD), Underwriting Agreement (Wave Life Sciences Ltd.)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company, its counsel, its officers and directors and and, to the Company’s knowledge, by the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares is true, complete, correct and compliant in all material respects with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correctcorrect in all material respects.

Appears in 5 contracts

Samples: Underwriting Agreement (Addus HomeCare Corp), Underwriting Agreement (Addus HomeCare Corp), Underwriting Agreement (Evolus, Inc.)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company, its counsel, its officers and directors directors, its senior managers and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares is true, complete, correct and compliant with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

Appears in 5 contracts

Samples: Underwriting Agreement (uniQure N.V.), Underwriting Agreement (uniQure N.V.), Underwriting Agreement (uniQure B.V.)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares is true, complete, correct and compliant with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules Rule 5110 or NASD Conduct Rules FINRA Rule 5121 is true, complete and correct.

Appears in 5 contracts

Samples: Underwriting Agreement (Horizon Pharma, Inc.), Underwriting Agreement (Chuy's Holdings, Inc.), Underwriting Agreement (Horizon Pharma, Inc.)

FINRA Matters. All of the information provided to the Underwriters Underwriter or to counsel for the Underwriters Underwriter by the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares is true, complete, correct and compliant with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

Appears in 5 contracts

Samples: Underwriting Agreement (PRA Health Sciences, Inc.), Underwriting Agreement (PRA Health Sciences, Inc.), Underwriting Agreement (PRA Health Sciences, Inc.)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company, its counsel, its officers and directors and and, to the Company’s knowledge, the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares is true, complete, correct in all material respects and compliant with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correctcorrect in all material respects.

Appears in 4 contracts

Samples: Underwriting Agreement (Cidara Therapeutics, Inc.), Underwriting Agreement (Cidara Therapeutics, Inc.), Underwriting Agreement (Cidara Therapeutics, Inc.)

FINRA Matters. All of the information provided to the Underwriters Underwriter or to counsel for the Underwriters Underwriter by the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares Securities is true, complete, correct and compliant with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

Appears in 4 contracts

Samples: Underwriting Agreement (Northwest Bancshares, Inc.), Underwriting Agreement (First Citizens Bancshares Inc /De/), Underwriting Agreement (Eiger BioPharmaceuticals, Inc.)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares is true, complete, correct and compliant in all material respects with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correctcorrect in all material respects.

Appears in 4 contracts

Samples: Underwriting Agreement (Marinus Pharmaceuticals Inc), Underwriting Agreement (Imago BioSciences, Inc.), Underwriting Agreement (Marinus Pharmaceuticals Inc)

FINRA Matters. All of the information provided to the Underwriters Underwriter or to counsel for the Underwriters Underwriter by the Company, and to the knowledge of the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares is true, complete, correct and compliant with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

Appears in 4 contracts

Samples: Underwriting Agreement (Medpace Holdings, Inc.), Underwriting Agreement (Medpace Holdings, Inc.), Underwriting Agreement (Medpace Holdings, Inc.)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares is true, complete, correct and compliant with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules Rule 5110 or NASD Conduct Rules FINRA Rule 5121 is true, complete and correct.

Appears in 4 contracts

Samples: Underwriting Agreement (Horizon Pharma PLC), Underwriting Agreement (Horizon Pharma PLC), Underwriting Agreement (Horizon Pharma PLC)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company and, to the knowledge of the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares is true, complete, correct and compliant with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules 5110 or 5121 is true, complete and correct.

Appears in 4 contracts

Samples: Underwriting Agreement (Strongbridge Biopharma PLC), Underwriting Agreement (Strongbridge Biopharma PLC), Underwriting Agreement (Strongbridge Biopharma PLC)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company, its counsel, its officers and directors and and, to the knowledge of the Company, the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares is true, complete, correct and compliant with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

Appears in 4 contracts

Samples: Underwriting Agreement (OptiNose, Inc.), Underwriting Agreement (OptiNose, Inc.), Underwriting Agreement (OptiNose, Inc.)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares is true, complete, complete and correct in all material respects and compliant with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correctcorrect in all material respects.

Appears in 4 contracts

Samples: Underwriting Agreement (Dicerna Pharmaceuticals Inc), Underwriting Agreement (Dicerna Pharmaceuticals Inc), Underwriting Agreement (Dicerna Pharmaceuticals Inc)

FINRA Matters. All of the information (including, but not limited to, information regarding affiliations, security ownership and trading activity) provided to the Underwriters Underwriter or to counsel for the Underwriters Underwriter by the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares is true, complete, correct and compliant with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

Appears in 4 contracts

Samples: Management Agreement (Arbor Realty Trust Inc), Underwriting Agreement (Arbor Realty Trust Inc), Underwriting Agreement (Arbor Realty Trust Inc)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company, its counsel, its officers and directors and, to the knowledge of the Company, its counsel and the holders of any securities (debt or equity) or options to acquire any securities of the Company Company, in connection with the offering of the Offered Shares is true, complete, correct and compliant with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

Appears in 4 contracts

Samples: Underwriting Agreement (Xeris Pharmaceuticals Inc), Underwriting Agreement (Xeris Pharmaceuticals Inc), Underwriting Agreement (Xeris Pharmaceuticals Inc)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company, its counsel, its officers and directors and, to the knowledge of the Company, its counsel and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares is true, complete, correct and compliant with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

Appears in 3 contracts

Samples: Underwriting Agreement (Tcr2 Therapeutics Inc.), Underwriting Agreement (Tcr2 Therapeutics Inc.), Underwriting Agreement (Tcr2 Therapeutics Inc.)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares is true, complete, correct and compliant in all material respects with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correctcorrect in all material respects.

Appears in 3 contracts

Samples: Underwriting Agreement (Marinus Pharmaceuticals Inc), Underwriting Agreement (Marinus Pharmaceuticals Inc), Scilex Holding Co

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company, and, to the knowledge of the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares Securities is true, complete, correct and compliant with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

Appears in 3 contracts

Samples: Underwriting Agreement (Helius Medical Technologies, Inc.), Underwriting Agreement (Ondas Holdings Inc.), Underwriting Agreement (Helius Medical Technologies, Inc.)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company, its counsel, its officers and directors and and, to the Company’s knowledge, the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares is true, complete, correct and compliant with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules Rule 5110 or NASD Conduct Rules 2720 is true, complete and correctcorrect in all material respects.

Appears in 3 contracts

Samples: Underwriting Agreement (Biosante Pharmaceuticals Inc), Underwriting Agreement (Celldex Therapeutics, Inc.), Underwriting Agreement (Celldex Therapeutics, Inc.)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company, the Sponsor or, to the knowledge of the Company, its counsel, its officers and directors officers, directors, director nominees, and the other holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares is true, complete, correct and compliant with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules Offering is true, complete and correctcorrect in all material respects.

Appears in 3 contracts

Samples: Underwriting Agreement (Genesis Park Acquisition Corp.), Underwriting Agreement (Genesis Park Acquisition Corp.), Underwriting Agreement (Genesis Park Acquisition Corp.)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by or on behalf of the Company, or, to its counselknowledge, by or on behalf of, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares directors, is true, complete, correct in all material respects and compliant with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA by such parties pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correctcorrect in all material respects.

Appears in 3 contracts

Samples: Underwriting Agreement (NeuroDerm Ltd.), NeuroDerm Ltd., NeuroDerm Ltd.

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares Securities is true, complete, correct and compliant with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules rules is true, complete and correct.

Appears in 3 contracts

Samples: Underwriting Agreement (Esperion Therapeutics, Inc.), Lock Up Agreement (iBio, Inc.), Underwriting Agreement (PharmaCyte Biotech, Inc.)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares is true, complete, correct and compliant in all material respects with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or the NASD Conduct Rules is true, complete and correctcorrect in all material respects.

Appears in 3 contracts

Samples: Underwriting Agreement (La Jolla Pharmaceutical Co), Underwriting Agreement (La Jolla Pharmaceutical Co), Underwriting Agreement (La Jolla Pharmaceutical Co)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any equity securities of the Company in connection with the offering of the Offered Shares is true, complete, correct and compliant in all material respects with FINRA’s rules and any letters, filings or other supplemental information provided by such persons to FINRA pursuant to FINRA Rules or NASD Conduct Rules is are true, complete and correctcorrect in all material respects.

Appears in 3 contracts

Samples: Underwriting Agreement (Presbia PLC), Underwriting Agreement (Presbia PLC), Underwriting Agreement (Presbia PLC)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company, its counsel, its officers and directors and, to the Company’s knowledge, its counsel and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares Securities is true, complete, complete and correct in all material respects and compliant with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correctcorrect in all material respects.

Appears in 3 contracts

Samples: Underwriting Agreement (Axovant Gene Therapies Ltd.), Underwriting Agreement (Immunovant, Inc.), Underwriting Agreement (Immunovant, Inc.)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company, its counsel, its officers and directors officers, directors, director nominees, the Sponsors and the other holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares Offering is true, complete, correct and compliant in all material respects with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

Appears in 3 contracts

Samples: Underwriting Agreement (EdtechX Holdings Acquisition Corp. II), Underwriting Agreement (EdtechX Holdings Acquisition Corp. II), Underwriting Agreement (EdtechX Holdings Acquisition Corp. II)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company and, to the Company’s knowledge, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares is true, complete, correct in all material respects and compliant with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correctcorrect in all material respects.

Appears in 3 contracts

Samples: Underwriting Agreement (Ocular Therapeutix, Inc), Underwriting Agreement (Ocular Therapeutix, Inc), Underwriting Agreement (Ocular Therapeutix, Inc)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company, its counsel, its officers and directors and and, to the Company’s knowledge, the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares is true, complete, complete and correct in all material respects and compliant with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correctcorrect in all material respects.

Appears in 3 contracts

Samples: Underwriting Agreement (Tourmaline Bio, Inc.), Underwriting Agreement (Reneo Pharmaceuticals, Inc.), Underwriting Agreement (Alto Neuroscience, Inc.)

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FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares is true, complete, complete and correct in all material respects and compliant with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

Appears in 3 contracts

Samples: Underwriting Agreement (Viridian Therapeutics, Inc.\DE), Underwriting Agreement (Viridian Therapeutics, Inc.\DE), Underwriting Agreement (Viridian Therapeutics, Inc.\DE)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company, its counsel, its officers and directors and and, to the Company’s knowledge, the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares is true, complete, correct in all material respects and compliant with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correctcorrect in all material respects.

Appears in 3 contracts

Samples: Vera Therapeutics, Inc., Vera Therapeutics, Inc., Vera Therapeutics, Inc.

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares is true, complete, correct and compliant with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules Rule 5110 or NASD Conduct Rules FINRA Rule 2720 is true, complete and correct.

Appears in 3 contracts

Samples: Underwriting Agreement (Zoe's Kitchen, Inc.), Zoe's Kitchen, Inc., Zoe's Kitchen, Inc.

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company, and to the knowledge of the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares is true, complete, correct and compliant with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

Appears in 3 contracts

Samples: Underwriting Agreement (Morphic Holding, Inc.), Underwriting Agreement (Morphic Holding, Inc.), Underwriting Agreement (Morphic Holding, Inc.)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares is true, complete, correct and compliant with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

Appears in 3 contracts

Samples: Underwriting Agreement (Progenics Pharmaceuticals Inc), Underwriting Agreement (Progenics Pharmaceuticals Inc), Underwriting Agreement (Progenics Pharmaceuticals Inc)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares is true, complete, complete and correct in all material respects and compliant with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is are true, complete and correctcorrect in all material respects.

Appears in 3 contracts

Samples: Underwriting Agreement (Corium International, Inc.), Underwriting Agreement (Corium International, Inc.), Underwriting Agreement (Corium International, Inc.)

FINRA Matters. All of the information provided to the Underwriters or to their counsel for the Underwriters by the Company, or, to the Company’s knowledge, by its counsel, its officers and directors directors, and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares Securities is true, complete, correct and compliant with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA by the Company pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

Appears in 3 contracts

Samples: Warrant Agent Agreement (Pluristem Therapeutics Inc), Underwriting Agreement (Pluristem Therapeutics Inc), Underwriting Agreement (Pluristem Therapeutics Inc)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company, its counsel, its officers and directors and and, to the Company’s knowledge, the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares is true, complete, correct and compliant with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules Rule 5110 or NASD Conduct Rules 5121 is true, complete and correctcorrect in all material respects.

Appears in 3 contracts

Samples: Underwriting Agreement (Celldex Therapeutics, Inc.), Underwriting Agreement (Celldex Therapeutics, Inc.), Underwriting Agreement (Celldex Therapeutics, Inc.)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares is true, complete, correct and compliant with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules Rule 5110 or NASD Conduct Rules FINRA 5121 is true, complete and correctcorrect in all material respects.

Appears in 3 contracts

Samples: Underwriting Agreement (Fiesta Restaurant Group, Inc.), Underwriting Agreement (Fiesta Restaurant Group, Inc.), Underwriting Agreement (Jefferies Capital Partners Iv Lp)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company, its counsel, its officers and directors and and, to the Company’s knowledge, the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares is true, complete, correct and compliant with FINRA’s rules rules, and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

Appears in 3 contracts

Samples: Underwriting Agreement (Veru Inc.), Underwriting Agreement (Veru Inc.), Underwriting Agreement (Veru Inc.)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares is true, complete, correct and compliant with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules Rule 5110 is true, complete and correct.

Appears in 3 contracts

Samples: Underwriting Agreement (Luxfer Holdings PLC), Underwriting Agreement (Luxfer Holdings PLC), Underwriting Agreement (Limelight Networks, Inc.)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Sponsor, the Company and, to the knowledge of the Company, its counsel, its officers and directors officers, directors, director nominees, the Sponsor, and the other holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares is trueOffering, complete, correct and compliant with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correctcorrect in all material respects and the Company has not become aware of any other information that would cause such provided information to become inaccurate and incorrect in any material respect.

Appears in 3 contracts

Samples: Underwriting Agreement (Hunt Companies Acquisition Corp. I), Underwriting Agreement (Hunt Companies Acquisition Corp. I), Underwriting Agreement (Hunt Companies Acquisition Corp. I)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares Securities is true, complete, correct and compliant with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

Appears in 3 contracts

Samples: Underwriting Agreement (First Busey Corp /Nv/), Underwriting Agreement (First Mid Bancshares, Inc.), Underwriting Agreement (Hilltop Holdings Inc.)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company, its counsel, its officers and directors and and, to the Company’s knowledge, the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares is true, complete, correct and compliant in all material respects with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correctcorrect in all material respects.

Appears in 3 contracts

Samples: Underwriting Agreement (Werewolf Therapeutics, Inc.), Underwriting Agreement (SkyWater Technology, Inc), Underwriting Agreement (Arteris, Inc.)

FINRA Matters. All To the Company’s knowledge, all of the information provided to the Underwriters or to counsel for the Underwriters by the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares is true, complete, correct and compliant with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

Appears in 3 contracts

Samples: Underwriting Agreement (Minerva Neurosciences, Inc.), Underwriting Agreement (Minerva Neurosciences, Inc.), Underwriting Agreement (Minerva Neurosciences, Inc.)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company and to the Company, its counsel’s knowledge, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares is true, complete, correct and compliant with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules Rule 5110 is true, complete and correct.

Appears in 3 contracts

Samples: Underwriting Agreement (El Pollo Loco Holdings, Inc.), Underwriting Agreement (El Pollo Loco Holdings, Inc.), Underwriting Agreement (El Pollo Loco Holdings, Inc.)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company, its counselFund, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company trustees in connection with the offering of the Offered Shares is true, complete, correct and compliant with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules FINRA’s conduct rules (and applicable legacy National Association of Securities Dealers (“NASD”) rules) is true, complete and correctcorrect in all material respects.

Appears in 3 contracts

Samples: Underwriting Agreement (Guggenheim Active Allocation Fund), Underwriting Agreement (PIMCO Access Income Fund), Investment Management Agreement (AllianzGI Artificial Intelligence & Technology Opportunities Fund)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares is true, complete, correct and compliant with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules Rule 5110 or NASD Conduct Rules Rule 2720 is true, complete and correctcorrect in all material respects.

Appears in 3 contracts

Samples: Underwriting Agreement (Bravo Brio Restaurant Group, Inc.), Underwriting Agreement (Bravo Brio Restaurant Group, Inc.), Underwriting Agreement (Bravo Brio Restaurant Group, Inc.)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares is true, complete, correct and compliant with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant thereto or to FINRA Rules or NASD Conduct Rules conduct rules promulgated by the National Association of Securities Dealers, Inc. is true, complete and correct.

Appears in 2 contracts

Samples: Underwriting Agreement (Corbus Pharmaceuticals Holdings, Inc.), Underwriting Agreement (Corbus Pharmaceuticals Holdings, Inc.)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company, its counsel, its officers and directors and, to the Company’s knowledge, its counsel and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares is true, complete, correct and compliant in all material respects with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correctcorrect in all material respects.

Appears in 2 contracts

Samples: Underwriting Agreement (Arcellx, Inc.), Underwriting Agreement (Arcellx, Inc.)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company, its counsel, its officers and directors and, to the Company’s knowledge, its counsel and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares Securities is true, complete, complete and correct in all material respects and compliant with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correctcorrect in all material respects.

Appears in 2 contracts

Samples: Letter Agreement (Immunovant, Inc.), Letter Agreement (Immunovant, Inc.)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company, its counsel, its officers and directors and and, to the Company’s knowledge, the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares ADSs is true, complete, correct and compliant with FINRA’s rules in all material respects and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correctcorrect in all material respects.

Appears in 2 contracts

Samples: Underwriting Agreement (Yintech Investment Holdings LTD), Secoo Holding LTD

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Companysuch Selling Shareholder, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares Securities is true, complete, correct and compliant with FINRA’s the rules of FINRA and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules rules is true, complete and correct.

Appears in 2 contracts

Samples: Underwriting Agreement (Red River Bancshares Inc), Underwriting Agreement (Red River Bancshares Inc)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company, its counsel, its officers and directors and and, to the Company’s knowledge, the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares Securities is true, complete, correct in all material respects and compliant with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correctcorrect in all material respects.

Appears in 2 contracts

Samples: Underwriting Agreement (Kezar Life Sciences, Inc.), Underwriting Agreement (Kezar Life Sciences, Inc.)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company and, to the knowledge of the Company, by its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares is true, complete, correct and compliant with FINRA’s rules rules, and any letters, filings or other supplemental information provided to FINRA by the Company pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

Appears in 2 contracts

Samples: Underwriting Agreement (Array Biopharma Inc), Underwriting Agreement (Array Biopharma Inc)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company, its counsel, its officers and directors officers, directors, nominee directors, Sponsors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares Offering is true, complete, correct and compliant with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

Appears in 2 contracts

Samples: Underwriting Agreement (Landcadia Holdings IV, Inc.), Underwriting Agreement (Landcadia Holdings IV, Inc.)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares ADSs is true, complete, correct and compliant with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

Appears in 2 contracts

Samples: Argo Blockchain PLC, Argo Blockchain PLC

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares is true, complete, complete and correct and compliant with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

Appears in 2 contracts

Samples: Underwriting Agreement (Omega Healthcare Investors Inc), Underwriting Agreement (Omega Healthcare Investors Inc)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Sponsor, the Company and, to the knowledge of the Company, its counsel, its officers and directors officers, directors, director nominees and the other holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares is true, complete, correct and compliant with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules Offering is true, complete and correctcorrect in all material respects and the Company has not become aware of any other information that would cause such provided information to become inaccurate and incorrect in any material respect.

Appears in 2 contracts

Samples: Underwriting Agreement (Arya Sciences Acquisition Corp.), Underwriting Agreement (Arya Sciences Acquisition Corp.)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares is true, complete, correct and compliant with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or the NASD Conduct Rules is true, complete and correct.

Appears in 2 contracts

Samples: Underwriting Agreement (Cytrx Corp), Underwriting Agreement (Cytrx Corp)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company, and, to the Company’s knowledge, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares is true, complete, correct and compliant with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

Appears in 2 contracts

Samples: Underwriting Agreement (AdaptHealth Corp.), Underwriting Agreement (AdaptHealth Corp.)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company, its counsel, its officers and directors officers, directors, director nominee, the Sponsor and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares Offering is true, complete, correct and compliant with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

Appears in 2 contracts

Samples: Underwriting Agreement (Forum Merger II Corp), Underwriting Agreement (Forum Merger II Corp)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares is true, complete, correct and compliant with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules rules is true, complete and correct.

Appears in 2 contracts

Samples: Underwriting Agreement (Esperion Therapeutics, Inc.), Underwriting Agreement (Allena Pharmaceuticals, Inc.)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company, and, to the Company’s knowledge, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares Securities is true, complete, true and correct as of the date it is provided to the Underwriters or to counsel for the Underwriters and is compliant in all material respects with FINRA’s rules and any letters, filings or other supplemental information in effect at the time it is provided to FINRA pursuant the Underwriters or to FINRA Rules or NASD Conduct Rules is true, complete and correctcounsel for the Underwriters.

Appears in 2 contracts

Samples: Underwriting Agreement (Inozyme Pharma, Inc.), Underwriting Agreement (Inozyme Pharma, Inc.)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company, its counselTrust, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company trustees in connection with the offering of the Offered Shares is true, complete, correct and compliant with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules FINRA’s conduct rules (and applicable legacy National Association of Securities Dealers (“NASD”) rules) is true, complete and correctcorrect in all material respects.

Appears in 2 contracts

Samples: Underwriting Agreement (BlackRock ESG Capital Allocation Trust), Underwriting Agreement (BlackRock Capital Allocation Trust)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters Underwriters, including in responses to questionnaires, by the Company, its counseland to the knowledge of the Company, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of filing by the Offered Shares is true, complete, correct and compliant with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA Underwriters pursuant to FINRA Rules Conduct Rule 5110 or NASD Conduct Rules 5121 is true, complete and correctcorrect in all material respects.

Appears in 2 contracts

Samples: Emerald Oil, Inc., Voyager Oil & Gas, Inc.

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company, its counsel, its officers and directors and and, to the knowledge of the Company, the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares Securities is true, complete, correct and compliant with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

Appears in 2 contracts

Samples: Underwriting Agreement (OptiNose, Inc.), Underwriting Agreement (OptiNose, Inc.)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with respect to filings with FINRA relating to the offering of the Offered Shares is is, to the knowledge of the Company, true, complete, correct and compliant with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

Appears in 2 contracts

Samples: Underwriting Agreement (Oriental Financial Group Inc), Underwriting Agreement (Oriental Financial Group Inc)

FINRA Matters. All of the information provided to the Underwriters or to counsel for the Underwriters by the Company and, to the Company, its counsel’s knowledge, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Offered Shares is true, complete, correct and compliant with FINRA’s rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules Rule 5110 or NASD Conduct Rules 2720 is true, complete and correct.

Appears in 2 contracts

Samples: Underwriting Agreement (Fogo De Chao, Inc.), Underwriting Agreement (Fogo De Chao, Inc.)

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