FINRA Member Sample Clauses
The "FINRA Member" clause defines the status and obligations of a party that is a member of the Financial Industry Regulatory Authority (FINRA). This clause typically outlines the requirements for maintaining FINRA membership, such as compliance with regulatory standards and reporting duties, and may specify the consequences of losing such membership. Its core function is to ensure that parties involved in the agreement adhere to industry regulations, thereby promoting trust and regulatory compliance within financial transactions.
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FINRA Member. The term “FINRA member” means either any broker or dealer admitted to membership in the Financial Industry Regulatory Authority, Inc. (“FINRA”) (FINRA Manual, Bylaws of FINRA Regulation, Inc. Article I, Definitions).
FINRA Member. A member of the Financial Industry Regulatory Authority or any person or entity associated with a FINRA member firm.
FINRA Member. The Subscriber acknowledges that if it is a Registered Representative of an FINRA member firm, the Subscriber must give such firm notice required by the FINRA’s Rules of Fair Practice, receipt of which must be acknowledged by such firm on the signature page hereof.
FINRA Member. Seller is a member of FINRA and is a broker-dealer registered as such under the Exchange Act. Seller is in material compliance with all FINRA rules and regulations applicable to Seller.
FINRA Member. A.G.P. represents and warrants to, and agrees with, the Company that A.G.P. is duly registered as a broker-dealer pursuant to the Securities Exchange Act of 1934, as amended, and the rules and regulations promulgated thereunder, and is a member in good standing of FINRA. In addition, A.G.P. hereby represents, warrants and covenants to the Company that A.G.P.’s performance under this Agreement will comply, in all material respects, with all federal, state and local laws, rules, regulations and ordinances relevant to its performance under this Agreement, including without limitation any applicable rules of FINRA and other federal, state and local broker-dealer and securities laws, rules and regulations. ▇▇▇ ▇▇▇▇▇▇▇ ▇▇▇▇▇▇, ▇▇▇▇ ▇▇▇▇▇, ▇▇▇ ▇▇▇▇, ▇▇ ▇▇▇▇▇, ▇▇▇-▇▇▇-▇▇▇▇ 2