Permitted Communications. Nothing herein prohibits or restricts the Executive (or the Executive’s attorney) from initiating communications directly with, responding to an inquiry from, or providing testimony before the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), any other self-regulatory organization, or any other federal or state regulatory authority regarding a possible securities law violation.
Appears in 13 contracts
Sources: Employment Agreement (Cardinal Infrastructure Group Inc.), Employment Agreement (Cardinal Infrastructure Group Inc.), Employment Agreement (Cardinal Infrastructure Group Inc.)
Permitted Communications. Nothing herein prohibits or restricts the Executive (or the Executive’s attorney) from initiating communications directly with, responding to an inquiry from, or providing testimony before the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), any other self-regulatory organization, organization or any other federal or state regulatory authority regarding a possible securities law violationauthority.
Appears in 8 contracts
Sources: Employment Agreement (Strive, Inc.), Employment Agreement (Strive, Inc.), Employment Agreement (Strive, Inc.)
Permitted Communications. Nothing herein prohibits or restricts the Executive (or the Executive’s attorney) from initiating communications directly with, responding to an inquiry from, or providing testimony before the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), any other self-regulatory organization, or any other federal or state regulatory authority regarding a possible securities law violation.
Appears in 6 contracts
Sources: Employment Agreement (Perma Fix Environmental Services Inc), Employment Agreement (Perma Fix Environmental Services Inc), Employment Agreement (Perma Fix Environmental Services Inc)
Permitted Communications. Nothing herein prohibits or restricts the Executive (or the Executive’s attorney) from initiating communications directly with, responding to an inquiry from, or providing testimony before the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), any other self-regulatory organization, or any other federal or state regulatory authority regarding a possible securities law violationauthority.
Appears in 6 contracts
Sources: Employment Agreement (Rise Oil & Gas, Inc.), Employment Agreement (Rise Oil & Gas, Inc.), Employment Agreement (Rise Oil & Gas, Inc.)
Permitted Communications. Nothing herein prohibits or restricts the Executive (or the Executive’s 's attorney) from initiating communications directly with, responding to an inquiry from, or providing testimony before the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), any other self-regulatory organization, or any other federal or state regulatory authority regarding a possible securities law violationauthority.
Appears in 5 contracts
Sources: Employment Agreement (Crinetics Pharmaceuticals, Inc.), Executive Employment Agreement (Blackboxstocks Inc.), Employment Agreement (Investors Title Co)
Permitted Communications. Nothing herein prohibits or restricts the Executive (or the Executive’s attorneylegal counsel) from initiating communications directly with, responding to an inquiry from, or providing testimony before the Securities and Exchange Commission (“SEC”), the Financial Industry Regulatory Authority (“FINRA”), any other self-regulatory organization, or any other federal or state relevant regulatory authority regarding a possible securities law violationauthority.
Appears in 4 contracts
Sources: Employment Agreement (ESGL Holdings LTD), Employment Agreement (ESGL Holdings LTD), Employment Agreement (ESGL Holdings LTD)
Permitted Communications. Nothing herein prohibits or restricts the Executive (or the Executive’s attorney) from initiating communications directly with, responding to an inquiry from, or providing testimony before the Securities and Exchange Commission (“SEC”), the Financial Industry Regulatory Authority (“FINRA”), any other self-regulatory organization, or any other federal or state regulatory authority regarding a possible securities law violation.
Appears in 4 contracts
Sources: Employment Agreement (Nano Nuclear Energy Inc.), Employment Agreement (Nano Nuclear Energy Inc.), Employment Agreement (Flewber Global Inc.)
Permitted Communications. Nothing herein prohibits or restricts the Executive (or the Executive’s 's attorney) from initiating communications directly with, responding to an inquiry from, or providing testimony before the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), any other self-self- regulatory organization, or any other federal or state regulatory authority regarding a possible securities law violationauthority.
Appears in 4 contracts
Sources: Employment Agreement (5&2 Studios, Inc.), Employment Agreement (5&2 Studios, Inc.), Employment Agreement (5&2 Studios, Inc.)
Permitted Communications. Nothing herein prohibits or restricts the Executive Independent Director (or the ExecutiveIndependent Director’s attorney) from initiating communications directly with, responding to an inquiry from, or providing testimony before the Securities and Exchange Commission (“SEC”), the Financial Industry Regulatory Authority (“FINRA”), any other self-regulatory organization, or any other federal or state regulatory authority regarding a possible securities law violation.
Appears in 4 contracts
Sources: Independent Director Agreement (Nano Nuclear Energy Inc.), Independent Director Agreement (Nano Nuclear Energy Inc.), Independent Director Agreement (Nano Nuclear Energy Inc.)
Permitted Communications. Nothing herein prohibits or restricts the Executive Director (or the ExecutiveDirector’s attorney) from initiating communications directly with, responding to an inquiry from, or providing testimony before the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority Authority, Inc. (FINRA), any other self-regulatory organization, or any other federal or state regulatory authority regarding a possible securities law violation.
Appears in 3 contracts
Sources: Indemnification Agreement (Stran & Company, Inc.), Indemnification Agreement (Stran & Company, Inc.), Indemnification Agreement (Stran & Company, Inc.)
Permitted Communications. Nothing herein prohibits or restricts the Executive (or the Executive’s attorney) from initiating communications directly with, responding to an inquiry from, or providing testimony before the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), any other self-self- regulatory organization, or any other federal or state regulatory authority regarding a possible securities law violationauthority.
Appears in 3 contracts
Sources: Employment Agreement (5&2 Studios, Inc.), Employment Agreement (5&2 Studios, Inc.), Executive Compensation Agreement (PishPosh, Inc.)
Permitted Communications. Nothing herein prohibits or restricts the Executive (or the Executive’s 's attorney) from initiating communications directly with, responding to an inquiry from, or providing testimony before the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), any other self-regulatory organization, or any other federal or state regulatory authority regarding a possible securities law violation.
Appears in 2 contracts
Sources: Employment Agreement (Crinetics Pharmaceuticals, Inc.), Employment Agreement (Americas Carmart Inc)
Permitted Communications. Nothing herein prohibits or restricts the Executive (or the Executive’s 's attorney) from initiating communications directly with, responding to an inquiry from, or providing testimony before the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), any other self-regulatory organization, or any other federal or state regulatory authority [regarding a possible securities law violation].
Appears in 2 contracts
Sources: Employment Agreement (Crinetics Pharmaceuticals, Inc.), Employment Agreement (Crinetics Pharmaceuticals, Inc.)
Permitted Communications. Nothing herein prohibits or restricts the Executive (or the Executive’s attorney) from initiating communications directly with, responding to an inquiry from, or providing testimony before the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), any other self-regulatory organization, or any other federal or state regulatory authority regarding a possible securities law violation.
Appears in 2 contracts
Sources: Employment Agreement (Umpqua Holdings Corp), Employment Agreement (Umpqua Holdings Corp)
Permitted Communications. Nothing herein prohibits or restricts the Executive (or the Executive’s 's attorney) from initiating communications directly with, responding to an inquiry from, or providing testimony before the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), any other self-regulatory organization, or any other federal or state regulatory authority regarding a possible securities law violation.
Appears in 2 contracts
Sources: Employment Agreement, Employment Agreement (Nutex Health, Inc.)
Permitted Communications. Nothing herein prohibits or restricts the Executive (or the Executive’s attorney) from initiating communications directly with, responding to an inquiry from, or providing testimony before the Securities and Exchange Commission (“SEC”), the Financial Industry Regulatory Authority (“FINRA”), any other self-regulatory organization, or any other federal federal, state, provincial or state territorial regulatory authority regarding a possible securities law violation.
Appears in 2 contracts
Sources: Employment Agreement (Nano Nuclear Energy Inc.), Employment Agreement (Nano Nuclear Energy Inc.)
Permitted Communications. Nothing herein prohibits or restricts the Executive (or the Executive’s attorney) from initiating communications directly with, responding to an inquiry from, or providing testimony before before, the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), any other self-regulatory organization, or any other federal or state regulatory authority regarding a possible securities law violation.
Appears in 1 contract
Permitted Communications. Nothing herein prohibits or restricts the Executive (or the Executive’s attorney) from initiating communications directly with, responding to an inquiry from, or providing testimony before the Securities and Exchange Commission (“SEC”), the Financial Industry Regulatory Authority (“FINRA”), any other self-regulatory organization, or any other federal or state regulatory authority regarding a possible securities law violation.
Appears in 1 contract
Permitted Communications. Nothing herein prohibits or restricts the Executive (or the Executive’s attorney) from initiating communications directly with, responding to an inquiry from, or providing testimony before the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), any other self-regulatory organization, or any other federal or state regulatory authority regarding a possible securities law violation.
Appears in 1 contract
Permitted Communications. Nothing herein prohibits or restricts the Executive (or the Executive’s attorney) from initiating communications directly with, responding to an inquiry from, or providing testimony before the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), any other self-self- regulatory organization, or any other federal or state regulatory authority regarding a possible securities law violation.
Appears in 1 contract
Sources: Executive Employment Agreement (Legion Works, Inc.)
Permitted Communications. Nothing herein prohibits or restricts the Executive (or the Executive’s attorney) from initiating communications directly with, responding to an inquiry inqui1y from, or providing testimony before the Securities and Exchange Commission (“SEC”), the Financial Industry Regulatory Authority (“FINRA”), any other self-regulatory organization, or any other federal or state regulatory authority regarding a possible securities Securities law violation.
Appears in 1 contract
Permitted Communications. Nothing herein prohibits or restricts the Executive Director (or the Executive’s Director 's attorney) from initiating communications directly with, responding to an inquiry from, or providing testimony before the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority Authority, Inc. (FINRA), any other self-regulatory organization, or any other federal or state regulatory authority regarding a possible securities law violation.
Appears in 1 contract
Sources: Independent Director Agreement (Stran & Company, Inc.)
Permitted Communications. Nothing herein prohibits or restricts the Executive (or the Executive’s attorneylegal counsel) from initiating communications directly with, responding to an inquiry from, or providing testimony before the Securities and Exchange Commission (“SEC”), the Financial Industry Regulatory Authority (“FINRA”), any other self-regulatory organization, or any other federal or state regulatory authority regarding a possible securities law violationauthority.
Appears in 1 contract
Permitted Communications. Nothing herein prohibits or restricts the Executive (or the Executive’s attorney) from initiating communications directly with, responding to an inquiry from, or providing testimony before the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority Authority, Inc. (FINRA), any other self-regulatory organization, or any other federal or state regulatory authority regarding a possible securities law violationauthority.
Appears in 1 contract
Permitted Communications. Nothing herein prohibits or restricts the Executive Director (or the ExecutiveDirector ’s attorney) from initiating communications directly with, responding to an inquiry from, or providing testimony before the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority Authority, Inc. (FINRA), any other self-regulatory organization, or any other federal or state regulatory authority regarding a possible securities law violation.
Appears in 1 contract
Sources: Independent Director Agreement (Stran & Company, Inc.)
Permitted Communications. Nothing herein prohibits or restricts the Executive (or the Executive’s 's attorney) from initiating communications directly with, responding to an inquiry from, or providing testimony before the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), any other self-self- regulatory organization, or any other federal or state regulatory authority regarding a possible securities law violation.
Appears in 1 contract