No Broker-Dealer Affiliation Sample Clauses

No Broker-Dealer Affiliation. There are no affiliations or associations between (i) any member of FINRA and (ii) the Company or any of its Controlled Entities or any of their respective officers, directors or 5% or greater security holders or any beneficial owner of the Company’s unregistered equity securities that were acquired at any time on or after the 180th day immediately preceding the date that the Registration Statement was initially filed with the Commission.
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No Broker-Dealer Affiliation. The Purchasers is not a broker-dealer registered with the Commission or an affiliate (as such term is defined in Rule 144(a) promulgated under the Securities Act) of a broker-dealer registered with the Commission.
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No Broker-Dealer Affiliation. There are no affiliations or associations between any member of the Financial Industry Regulatory Authority, Inc. (the “FINRA”) and the Company or any of the officers or directors of the Company or the Affiliated Entities, or holders of 5% or greater of the securities of the Company.
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No Broker-Dealer Affiliation. Except as set forth in the Registration Statement, the General Disclosure Package and the Prospectus, there are no affiliations or associations between any member of FINRA and any of the officers or directors of the Company or MIE, or holders of 5% or greater of the securities of the Company.
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No Broker-Dealer Affiliation. Except as set forth in the General Disclosure Package, there are no affiliations or associations between any member of the NASD and any of the officers or directors of the Company or the subsidiaries, or holders of 5% or greater of the securities of the Company.
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No Broker-Dealer Affiliation. There are no affiliations or associations between (i) any member of FINRA and (ii) the Company or any of its Subsidiaries and Affiliated Entity or any of their respective officers, directors or, to the best knowledge of the Company, 5% or greater security holders (other than Global Long Short Partners Mauritius I Ltd and Private Opportunities (Mauritius) I Limited) or, to the best knowledge of the Company, any beneficial owner of the Company’s unregistered equity securities that were acquired at any time on or after the 180th day immediately preceding the date that the Registration Statement was initially filed with the Commission.
Sample 1
No Broker-Dealer Affiliation. Except for Xxxxxxx, Xxxxx & Co, Deutsche Bank AG, [Old Lane HMA Master Fund, LP, Old Lane Cayman Master Fund, LP, Old Lane US Master Fund, LP and Ponderosa Asset, L.P.] and except as disclosed in the General Disclosure Package, such Selling Shareholder is not an “affiliate” of any member of FINRA or a “person associated with a member” of FINRA as each term is so defined by FINRA, provided, however, that for the purposes of this clause, “member” refers to an entity which is also an Underwriter in this offering.
Sample 1
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No Broker-Dealer Affiliation. ADSX is not a broker-dealer registered with the Commission or an affiliate (as such term is defined in Rule 144(a) promulgated under the Securities Act) of a broker-dealer registered with the Commission.
Sample 1
No Broker-Dealer Affiliation. Such Selling Shareholder has no affiliations or associations with any member of FINRA that “participates” (as defined in FINRA Rule 5110(j)) in the offering of the Offered Securities, and none of the proceeds received by such Selling Shareholder from the sale of ADSs to be sold by such Selling Shareholder pursuant to this Agreement will be paid to a member of FINRA or any affiliate of (or person “associated with” as such terms are used in the rules of FINRA) such member to reduce or settle existing indebtedness owed to such member of FINRA or any affiliate of (or person “associated with,” as such terms are used in the rules of FINRA) such member.
Sample 1

Related to No Broker-Dealer Affiliation

  • Broker/Dealer Relationships Neither the Company nor any of the Subsidiaries (i) is required to register as a “broker” or “dealer” in accordance with the provisions of the Exchange Act or (ii) directly or indirectly through one or more intermediaries, controls or is a “person associated with a member” or “associated person of a member” (within the meaning set forth in the FINRA Manual).

  • Broker-dealer The Buyer is a dealer registered pursuant to Section 15 of the Securities Exchange Act of 1934.

  • Broker-Dealer Status (a) Are you a broker-dealer? Yes ☐ No ☐

  • Selected Dealer Agreements a. The Distributor shall have the right to enter into selected dealer agreements with securities dealers of its choice ("selected dealers") for the sale of Class C Shares; provided, that the Corporation shall approve the forms of agreements with dealers. Class C Shares sold to selected dealers shall be for resale by such dealers only at net asset value determined as set forth in Section 3(d) hereof. The form of agreement with selected dealers to be used during the subscription period described in Section 3(a) is attached hereto as Exhibit A and the form of agreement with selected dealers to be used in the continuous offering of the Class C Shares is attached hereto as Exhibit B.

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