The Financial Industry Regulatory Authority Sample Clauses
This clause establishes the Financial Industry Regulatory Authority (FINRA) as the relevant regulatory body overseeing the activities addressed in the agreement. It typically specifies that any disputes, compliance requirements, or regulatory matters will be governed or influenced by FINRA's rules and standards. For example, it may require parties to adhere to FINRA arbitration procedures or follow its guidelines for broker-dealer conduct. The core function of this clause is to ensure that all parties are subject to a recognized regulatory framework, promoting fairness, consistency, and legal compliance within the financial industry.
The Financial Industry Regulatory Authority. GAAP. Generally accepted accounting principles as in effect in the United States of America from time to time or such other accounting basis mandated by the U.S. Securities and Exchange Commission.
The Financial Industry Regulatory Authority. (a) To your knowledge, has any Arrangement been entered into within the past six months that provides for the receipt of any item of value and/or transfer of any warrants, options or other Securities from the Company to any Underwriter or Related Person, other than normal investment bank advisor Arrangements and the S-3 offering? [FINRA Rule 5110(b)(6)(A)(iv)] Yes No X If you answered “Yes,” please provide the details of the Arrangement below:
(b) Are you a FINRA Member, a Person Associated with a FINRA Member, a direct or indirect Affiliate of a FINRA Member or an Underwriter or Related Person with respect to a proposed offering? [FINRA Rule 5110(b)(6)(A)(iii)] Yes No If you answered “Yes,” please identify the FINRA Member and/or Underwriter or Related Person and describe the nature of the relationship with the FINRA Member, including, in the case of a general or limited partner, the identity of the partner below: If your answer to clause (b) is “No,” you need not respond to (c) below.
(c) If your answer to clause (b) is “Yes” and you Beneficially Own any equity or debt Securities or Derivative Instruments of the Company, please provide the following information with respect to all such Securities.
(d) Do you know of any dealings between any member of the FINRA, including former members of the NASD, any person who is an Associate or Affiliate of the FINRA, including former members of the NASD, or any potential Underwriter or Related Person, on the one hand, and the Company and its Affiliates, on the other hand, including, without limitation, any Arrangement that provided for the receipt of any item of value (including warrants, options or other securities of the Company or its Affiliates) by any Underwriter or Related Person? Yes No
(e) Are you a member of or otherwise a person who is an Associate or Affiliate of a member firm of the FINRA, including former members of the NASD? Such FINRA Member firms may include, for example, broker-dealers, underwriters and full-service and/or discount brokerage firms. A person associated with a FINRA Member firm may include, for example, a partner, Officer, Director or employee of any FINRA Member firm. Yes No
(f) Do you own stock or other securities of any FINRA Member firm, including former members of the NASD, (other than securities purchased on the open market)? For purposes of this question, please include securities beneficially owned by you. (You should assume, absent extraordinary circumstances, that securities...