SEC Disciplinary Orders. Are you or the Company currently the subject of any SEC disciplinary orders relating to brokers, dealers, municipal securities dealers, investment companies, and investment advisers and their associated persons under Section 15(b) or 15B(c) of the Securities Exchange Act of 1934, or Section 203(e) or (f) of the Investment Advisers Act that (a) Suspends or revokes your or the Company’s registration as a broker, dealer, municipal securities dealer or investment adviser YES ¨ NO ¨ (1) Places limitations on your or the Company’s activities, functions or operations YES ¨ NO ¨ (2) Bars you or the Company from being associated with any entity or from participating in the offering of any p▇▇▇▇ stock YES ¨ NO ¨
Appears in 2 contracts
Sources: Securities Purchase Agreement (WPCS International Inc), Securities Purchase Agreement (WPCS International Inc)
SEC Disciplinary Orders. Are you or the Company currently the subject of any SEC disciplinary orders relating to brokers, dealers, municipal securities dealers, investment companies, and investment advisers and their associated persons under Section 15(b) or 15B(c) of the Securities Exchange Act of 1934, or Section 203(e) or (f) of the Investment Advisers Act that
(a) Suspends or revokes your or the Company’s registration as a broker, dealer, municipal securities dealer or investment adviser YES ¨ NO ¨NO
(1) Places limitations on your or the Company’s activities, functions or operations YES ¨ NO ¨NO
(2) Bars you or the Company from being associated with any entity or from participating in the offering of any p▇▇▇▇ stock YES ¨ NO ¨NO
Appears in 2 contracts
Sources: Securities Purchase Agreement (WPCS International Inc), Securities Purchase Agreement (Emerald Medical Applications Corp.)
SEC Disciplinary Orders. Are you or the Company currently the subject of any SEC disciplinary orders relating to brokers, dealers, municipal securities dealers, investment companies, and investment advisers and their associated persons under Section 15(b) or 15B(c) of the Securities Exchange Act of 1934, or Section 203(e) or (f) of the Investment Advisers Act that
(a) that Suspends or revokes your or the Company’s registration as a broker, dealer, municipal securities dealer or investment adviser YES ¨ NO ¨
(1) Places limitations on your or the Company’s activities, functions or operations YES ¨ NO ¨
(2) Bars you or the Company from being associated with any entity or from participating in the offering of any p▇▇▇▇ stock YES ¨ NO ¨
Appears in 1 contract
SEC Disciplinary Orders. Are you or the Company currently the subject of any SEC disciplinary orders relating to brokers, dealers, municipal securities dealers, investment companies, and investment advisers and their associated persons under Section 15(b) or 15B(c) of the Securities Exchange Act of 1934, or Section 203(e) or (f) of the Investment Advisers Act that
(a) Suspends or revokes your or the Company’s registration as a broker, dealer, municipal securities dealer or investment adviser YES ¨ NO ¨NO
(1) Places limitations on your or the Company’s activities, functions or operations YES ¨ NO ¨NO
(2) Bars you or the Company from being associated with any entity or from participating in the offering of any p▇▇▇▇▇ stock YES ¨ NO ¨NO
Appears in 1 contract
Sources: Securities Purchase Agreement (Reign Sapphire Corp)
SEC Disciplinary Orders. Are you or the Company currently the subject of any SEC disciplinary orders relating to brokers, dealers, municipal securities dealers, investment companies, and investment advisers and their associated persons under Section 15(b) or 15B(c) of the Securities Exchange Act of 1934, or Section 203(e) or (f) of the Investment Advisers Act that
(a) Suspends or revokes your or the Company’s registration as a broker, dealer, municipal securities dealer or investment adviser YES ¨ NO ¨Yes No
(1) Places limitations on your or the Company’s activities, functions or operations YES ¨ NO ¨Yes No
(2) Bars you or the Company from being associated with any entity or from participating in the offering of any p▇▇▇▇▇ stock YES ¨ NO ¨Yes No
Appears in 1 contract