Common use of No FINRA Affiliations Clause in Contracts

No FINRA Affiliations. To the Company’s knowledge and except as disclosed to the Representative in writing, no (i) officer or director of the Company or its subsidiaries, (ii) owner of 5% or more of any class of the Company’s securities or (iii) owner of any amount of the Company’s unregistered securities acquired within the 180-day immediately prior to the date that the Registration Statement was initially filed to the Commission, has any direct or indirect affiliation or association with any FINRA member. The Company will advise the Representative and counsel to the Underwriters if it becomes aware that any such person described in (i) to (iii) under this section 1(vv) is or becomes an affiliate or associated person of a FINRA member participating in the offering.

Appears in 8 contracts

Samples: Underwriting Agreement (Neotv Group LTD), Underwriting Agreement (Neotv Group LTD), Underwriting Agreement (ALE Group Holding LTD)

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No FINRA Affiliations. To the Company’s knowledge and except as disclosed to the Representative in writing, no (i) officer or director of the Company or its subsidiaries, (ii) owner of 5% or more of any class of the Company’s securities or (iii) owner of any amount of the Company’s unregistered securities acquired within the 180-day immediately prior to the date that the Registration Statement was initially filed to the Commission, has any direct or indirect affiliation or association with any FINRA member. The Company will advise the Representative and counsel to the Underwriters if it becomes aware that any such person described in (i) to (iii) under this section 1(vv1(tt) is or becomes an affiliate or associated person of a FINRA member participating in the offering.

Appears in 5 contracts

Samples: Underwriting Agreement (Galaxy Payroll Group LTD), Underwriting Agreement (IMMRSIV Inc.), Underwriting Agreement (Galaxy Payroll Group LTD)

No FINRA Affiliations. To the Company’s knowledge and except as disclosed to the Representative in writing, no (i) officer or director of the Company or its subsidiaries, (ii) owner of five percent (5% %) or more of any class of the Company’s securities or (iii) owner of any amount of the Company’s unregistered securities acquired within the 180-day immediately prior to the date that the Registration Statement was initially filed to the Commission, has any direct or indirect affiliation or association with any FINRA member. The Company will advise the Representative and counsel to the Underwriters if it becomes aware that any such person described in (i) to (iii) under this section 1(vv) is or becomes an affiliate or associated person of a FINRA member participating in the offering.

Appears in 4 contracts

Samples: Underwriting Agreement (Jin Medical International Ltd.), Underwriting Agreement (Jin Medical International Ltd.), Underwriting Agreement (Jin Medical International Ltd.)

No FINRA Affiliations. To the Company’s knowledge and except as disclosed to the Representative in writing, no (i) officer or director of the Company Company, its subsidiaries or its subsidiariesthe VIE, (ii) owner of 510% or more of any class of the Company’s securities or (iii) owner of any amount of the Company’s unregistered securities acquired within the 180-day immediately prior to the date that the Registration Statement was initially filed to the Commission, has any direct or indirect affiliation or association with any FINRA member. The Company will advise the Representative and counsel to the Underwriters if it becomes aware that any such person described in (i) to (iii) under this section Section 1(vv) is or becomes an affiliate or associated person of a FINRA member participating in the offering.

Appears in 3 contracts

Samples: Deposit Agreement (Xiao-I Corp), Underwriting Agreement (Xiao-I Corp), Underwriting Agreement (Xiao-I Corp)

No FINRA Affiliations. To the Company’s knowledge and except as disclosed to the Representative in writing, no (i) officer or director of the Company or its subsidiaries, (ii) owner of 5% or more of any class of the Company’s securities or (iii) owner of any amount of the Company’s unregistered securities acquired within the 180-day immediately prior to the date that the Registration Statement was initially filed to the Commission, has any direct or indirect affiliation or association with any FINRA member. The Company will advise the Representative and counsel to the Underwriters if it becomes aware that any such person described in (i) to (iii) under this section 1(vv1(ww) is or becomes an affiliate or associated person of a FINRA member participating in the offering.

Appears in 2 contracts

Samples: Underwriting Agreement (Lucas GC LTD), Underwriting Agreement (Lucas GC LTD)

No FINRA Affiliations. To the Company’s knowledge and except as disclosed to the Representative in writing, no (i) officer or director of the Company or its subsidiaries, (ii) owner of five percent (5% %) or more of any class of the Company’s securities or (iii) owner of any amount of the Company’s unregistered securities acquired within the 180-day immediately prior to the date that the Registration Statement was initially filed to the Commission, has any direct or indirect affiliation or association with any FINRA member. The Company will advise the Representative and counsel to the Underwriters if it becomes aware that any such person described in (i) to (iii) under this section 1(vv1(tt) is or becomes an affiliate or associated person of a FINRA member participating in the offering.

Appears in 2 contracts

Samples: Underwriting Agreement (Global Engine Group Holding LTD), Underwriting Agreement (Global Engine Group Holding LTD)

No FINRA Affiliations. To the Company’s knowledge and except as disclosed to the Representative in writing, no (i) officer or director of the Company or its subsidiaries, (ii) owner of 5% or more of any class of the Company’s securities or (iii) owner of any amount of the Company’s unregistered securities acquired within the 180-day immediately prior to the date that the Registration Statement was initially filed to the Commission, has any direct or indirect affiliation or association with any FINRA member. The Company will advise the Representative and counsel to the Underwriters if it becomes aware that any such person described in (i) to (iii) under this section Section 1(vv) is or becomes an affiliate or associated person of a FINRA member participating in the offering.

Appears in 1 contract

Samples: Underwriting Agreement (U-Bx Technology Ltd.)

No FINRA Affiliations. To the Company’s knowledge and except as disclosed to the Representative in writing, no (i) officer or director of the Company or its subsidiaries, (ii) owner of 5% ten percent (10%) or more of any class of the Company’s securities or (iii) owner of any amount of the Company’s unregistered securities acquired within the 180-day immediately prior to the date that the Registration Statement was initially filed to the Commission, has any direct or indirect affiliation or association with any FINRA member. The Company will advise the Representative and counsel to the Underwriters if it becomes aware that any such person described in (i) to (iii) under this section 1(vv1(uu) is or becomes an affiliate or associated person of a FINRA member participating in the offering.

Appears in 1 contract

Samples: Underwriting Agreement (New Century Logistics (BVI) LTD)

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No FINRA Affiliations. To the Company’s knowledge and except as disclosed to the Representative Underwriter in writing, no (i) officer or director of the Company or its subsidiaries, (ii) owner of 510% or more of any class of the Company’s securities or (iii) owner of any amount of the Company’s unregistered securities acquired within the 180-day immediately prior to the date that the Registration Statement was initially filed to the Commission, has any direct or indirect affiliation or association with any FINRA member. The Company will advise the Representative Underwriter and counsel to the Underwriters Underwriter if it becomes aware that any such person described in (i) to (iii) under this section Section 1(vv) is or becomes an affiliate or associated person of a FINRA member participating in the offering.

Appears in 1 contract

Samples: Underwriting Agreement (Republic Power Group LTD)

No FINRA Affiliations. To the Company’s best knowledge and except as disclosed to the Representative in writing, no (i) officer or director of the Company or its subsidiaries, (ii) owner of 5% or more of any class of the Company’s securities or (iii) owner of any amount of the Company’s unregistered securities acquired within the 180-day immediately prior to the date that the Registration Statement was initially filed to the Commission, has any direct or indirect affiliation or association with any FINRA member. The Company will advise the Representative and counsel to the Underwriters if it becomes aware that any such person described in (i) to (iii) under this section 1(vv) is or becomes an affiliate or associated person of a FINRA member participating in the offering.

Appears in 1 contract

Samples: Underwriting Agreement (Alpha Technology Group LTD)

No FINRA Affiliations. To the Company’s knowledge and except as disclosed to the Representative in writing, no (i) officer or director of the Company or its subsidiaries, (ii) owner of 5% ten percent (10%) or more of any class of the Company’s securities or (iii) owner of any amount of the Company’s unregistered securities acquired within the 180-day immediately prior to the date that the Registration Statement was initially filed to the Commission, has any direct or indirect affiliation or association with any FINRA member. The Company will advise the Representative and counsel to the Underwriters if it becomes aware that any such person described in (i) to (iii) under this section 1(vv) is or becomes an affiliate or associated person of a FINRA member participating in the offering.

Appears in 1 contract

Samples: Underwriting Agreement (New Century Logistics (BVI) LTD)

No FINRA Affiliations. To the Company’s knowledge and except as disclosed to the Representative in writing, no (i) officer or director of the Company or its subsidiaries, (ii) owner of 510% or more of any class of the Company’s securities or (iii) owner of any amount of the Company’s unregistered securities acquired within the 180-day immediately prior to the date that the Registration Statement was initially filed to the Commission, has any direct or indirect affiliation or association with any FINRA member. The Company will advise the Representative and counsel to the Underwriters if it becomes aware that any such person described in (i) to (iii) under this section Section 1(vv) is or becomes an affiliate or associated person of a FINRA member participating in the offering.

Appears in 1 contract

Samples: Underwriting Agreement (Wuxin Technology Holdings, Inc.)

No FINRA Affiliations. To the Company’s knowledge and except as disclosed to the Representative in writing, no (i) officer or director of the Company or its subsidiariesSubsidiaries, (ii) owner of 510% or more of any class of the Company’s securities or (iii) owner of any amount of the Company’s unregistered securities acquired within the 180-day immediately prior to the date that the Registration Statement was initially filed to the Commission, has any direct or indirect affiliation or association with any FINRA member. The Company will advise the Representative and counsel to the Underwriters if it becomes aware that any such person described in (i) to (iii) under this section Section 1(vv) is or becomes an affiliate or associated person of a FINRA member participating in the offering.

Appears in 1 contract

Samples: Underwriting Agreement (Warrantee Inc.)

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